-1-

Supporting Statement for a Request for OMB Review under

the Paperwork Reduction Act

1. IDENTIFICATION OF THE INFORMATION COLLECTION

l(a) Title of the Information Collection

TITLE: PCBs, Consolidated Reporting and Recordkeeping Requirements

EPA ICR No.: 1446.10 OMB Control No: 2070-0112

1(b) Short Characterization

The Toxic Substances Control Act (TSCA) section 6(e)(1), 15 USC 2605(e), directs EPA 

to regulate the marking and disposal of polychlorinated biphenyls (PCBs). Section 6(e)(2) bans 

the manufacturing, processing, distribution in commerce, and use of PCBs in other than a totally 

enclosed manner. Section 6(e)(3) establishes a process for obtaining an exemption from the 

prohibitions on the manufacture, processing, and distribution in commerce of PCBs. This 

provision requires that EPA must make a finding by rule that such activities will not present an 

unreasonable risk of injury to health or the environment. In addition, good faith efforts must 

have been made by the petitioner to develop a chemical substance that does not present an 

unreasonable risk to replace the PCBs. Exemptions may be granted for a period not to exceed 

one year. Since 1978, EPA has promulgated numerous rules addressing all aspects of the life 

cycle of PCBs as required by the statute. These regulations have been codified in the various 

subparts of 40 CFR 761, as shown in Table 1-1. Appendix A contains a copy of the statute and 

Appendix B is a copy of the regulations.

TABLE 1-1

SUBPARTS AND SECTIONS OF 40 CFR 761

Subpart Section Numbers Subpart Title

Subpart A §§761.1 - .19 General

Subpart B §§761.20 - .35 Manufacturing, Processing, Distribution in Commerce, and Use 

of PCBs and PCB Items

Subpart C §§761.40 - .45 Marking of PCBs and PCB Items

Subpart D §§761.50 -.79 Storage and Disposal

Subpart E §§761.80 Exemptions

Subpart F §§761.91 - .99 Transboundary Shipments of PCBs for Disposal
TABLE 1-1, continued

SUBPARTS AND SECTIONS OF 40 CFR 761

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2

Subpart Section Numbers Subpart Title

Subpart G §§761.120 - .135 PCB Spill Cleanup Policy

Subpart J §§761.180 - .193 General Records and Reports

Subpart K §§761.202 - .218 PCB Waste Disposal Records and Reports

Subpart M §§761.240 - .257 Determining a PCB Concentration for Purposes of Abandonment 

or Disposal of Natural Gas Pipeline; Selecting Sample Sites, 

Collecting Surface Samples, and Analyzing Standard PCB Wipe 

Samples

Subpart N §§761.260 - .274 Cleanup Site Characterization Sampling for PCB Remediation 

Waste in Accordance with 40 CFR 761.61(a)(2)

Subpart O §§761.280 - .298 Sampling to Verify Completion of Self-Implementing Cleanup 

and On-Site Disposal of Bulk PCB Remediation Waste and 

Porous Surfaces in Accordance with §761.61(a)(6)

Subpart P §§761.300 - .316 Sampling Non-Porous Surfaces for Measurement-Based Use, 

Reuse, and On-Site or Off-Site Disposal Under §§761.61(a)(6)

and 761.79(b)(3)

Subpart Q §§761.320 - .326 Self-Implementing Alternative Extraction and Chemical Analysis 

Procedures for Non-Liquid PCB Remediation Waste Samples

Subpart R §§761.340 - .359 Sampling Non-Liquid, Non-Metal PCB Bulk Product Waste for

Purposes of Characterization for PCB Disposal in Accordance 

with §761.62, and Sampling PCB Remediation Waste Destined 

for Off-Site Disposal, in Accordance with §761.61

Subpart S §§761.360 - .378 Double Wash/Rinse Method for Decontaminating Non-Porous 

Surfaces

Subpart T §§761.380 - .398 Comparison Study for Validating a New Performance-Based 

Decontamination Solvent Under 40 CFR 971.79(d)(4)

This Supporting Statement is a renewal of the Information Collection Request (ICR) that 

previously consolidated six ICRs as follows:

1. ICR 857—PCB Manufacturing, Processing, and Distribution in Commerce 

Exemptions (OMB Control No. 2070-0021).
--

3

2. ICR 1000—PCB Use in Electrical Equipment and Transformers (OMB Control 

No. 2070-0003).

3. ICR 1001—PCB Exclusions, Exemptions, and Use Authorizations (OMB Control 

No. 2070-0008).

4. ICR 1012—PCB Disposal Permitting Regulation (OMB Control No. 2070-0011).

5. ICR 1446—Notification and Manifesting for PCB Waste Activities (OMB 

Control No. 2070-0112), which incorporates ICR 583 - PCB Use, Storage, and 

Disposal Recordkeeping Requirements (OMB Control No. 2070-0061). This 

collection was amended to address third-party notifications and to address the 

burden associated with EPA’s Reclassification Rule when it was a proposed rule.

6. ICR 1729—Final Regulations Amending the PCB Regulations at 40 CFR 761 

(OMB Control No. 2070-0159).

Previous Consolidated ICRs also incorporated collection request burdens associated with 

the Reclassification Rule (66 FR 17602, April 2, 2001). No additional requirements have been 

added to this ICR. This ICR was previously approved as OMB Control No. 2070-0112 and EPA 

ICR No. 1446.08. 

There are approximately 100 specific reporting, third-party reporting, and recordkeeping 

requirements covered by this consolidated ICR. Some examples of reporting and third-party 

reporting requirements included at 40 CFR 761 follow:

 Submitting reports/certifications to qualify for the exclusion from the 

manufacturing ban, thus allowing the manufacture or importation of chemical 

products that contain inadvertently generated trace PCB impurities.

 Registering newly discovered PCB Transformers with EPA (reporting) and 

building owners (third-party reporting).

 Submitting annual reports concerning the storage and disposal of PCBs.

 Notifying EPA to obtain approval to exceed the time limits for storing equipment 

slated for reuse or to exceed the current 1-year limitation on storing equipment for 

disposal.

 Notifying EPA (i.e., reporting) and state and local officials (i.e., third-party 

reporting) of self-implementing PCB remediation activities and changes to these 

activities, and providing certification that all records of remediation activities are on 

file.

 Requesting EPA approval to operate facilities that dispose or commercially store 

PCBs.

 Submitting Unmanifested Waste Reports.

 Sending Certificates of Disposal to generators of PCB waste (third-party 
--

4

reporting).

Examples of recordkeeping requirements under 40 CFR 761 include:

 Maintaining records of PCB Transformers and transformer inspections, Voltage 

Regulators, and Large Capacitors.

 Maintaining records of PCB equipment stored for reuse.

 Keeping records of remediation activities.

 Preparing and maintaining plans for handling PCB spills [i.e., Spill Prevention, 

Control, and Countermeasure (SPCC) plans].

 Preparing and maintaining annual document logs for incineration facilities, 

chemical waste landfills, and high efficiency boilers.

 Maintaining monitoring records of the manufacture, import, processing, 

distribution in commerce, or use of chemicals containing inadvertently generated or 

recycled PCBs.

 Maintaining records associated with the transfer, storage, and disposal of PCBs 

and PCB equipment; the processing and distribution in commerce of PCBs; and the 

decontamination of PCB Items.

Information required by these regulations is used by EPA’s Regional Administrators, the 

Office of Enforcement and Compliance Assurance (OECA), or the Office of Pollution 

Prevention and Toxics (OPPT), as appropriate. Much of the information is maintained as part of 

the public docket. Confidential business information (CBI) submitted to EPA to qualify for the 

chemical manufacturing exclusions is maintained by OPPT in the CBI docket. Data collected 

under the transformer registration program are provided to the EPA Regional Offices and other 

environmental offices, on an as requested basis (e.g., state environmental agencies, fire response 

personnel, etc.), and is accessible online as well.

All of the information collection activities associated with the PCB regulations found at 

40 CFR 761 have been approved by OMB. The total hourly and cost burdens associated with the 

requirements discussed in this consolidated ICR include time needed to collect and review 

required information and transmit or otherwise disclose the information. EPA will use the 

information collected by the 40 CFR 761 requirements to ensure PCBs are managed in an 

environmentally safe manner and that activities are being conducted in compliance with the PCB 

regulations. Specific uses of the information collected include determining the efficacy of a 

disposal technology; evaluating exemption requests and exclusion notices; targeting compliance 

inspections (e.g., determining if operational criteria for disposal facilities are being met); and 

ensuring adequate storage capacity for PCB waste.
--

5

2. NEED FOR AND USE OF THE COLLECTION

2(a) Need/Authority for the Collection

The reporting and recordkeeping requirements of this consolidated ICR are implemented 

under the TSCA authorities at 15 USC 2605(e). To meet its statutory obligations, EPA must 

obtain sufficient information to conclude that the specified activities do not result in an 

unreasonable risk of injury to health or the environment. The regulations are intended to prevent 

the improper handling and disposal of PCBs and to minimize the exposure of human beings or 

the environment to PCBs.

To assist EPA in achieving these goals, the information collected by these requirements 

will update the Agency’s knowledge of ongoing PCB activities, ensure that individuals using or 

disposing of PCBs are held accountable for their activities, and demonstrate compliance with the 

PCB regulations. Tables 2-1, 2-2, and 2-3 (located at the end of this section) provide specific 

regulatory citations for each reporting, third-party reporting, and recordkeeping requirement, 

respectively, as well as the use for each requirement, which is provided in response to section 

2(b) of this Supporting Statement. Item numbers in the first column of the tables are included for 

ease of reference to the numerous requirements and are carried through to other sections and 

tables throughout this document.

There are, however, certain PCB requirements that are exempt from the Paperwork 

Reduction Act (PRA). In defining “collection of information,” OMB’s PRA regulations 

explicitly exempt public disclosures where all the information required to be displayed is 

supplied by the government. The last sentence of 5 CFR 1320.3(c)(2) states, “The public 

disclosure of information originally supplied by the Federal Government to the recipient for the 

purpose of disclosure to the public is not included within this definition” (emphasis added).

EPA’s PCB marking requirements at §§761.40 and .45 supply all the information 

required by EPA to be displayed on items containing PCBs, except for §§761.45(a) and .40(j)(2). 

All the information required to be disclosed for compliance with these two provisions is not 

provided by EPA, however, the requirements do not negate the above conclusion.

For §761.45(a), the mark prompts the recipient to add information identifying the name 

and telephone number of a person to contact beyond the contact information already supplied by 

EPA’s mark itself. (The mark gives an emergency 800 number at the U.S. Coast Guard in case 

of accidents or spills, and states “for disposal information contact the nearest U.S. EPA office.”) 

However, OMB’s PRA regulations state at 5 CFR 1320.3(h)(1) that the definition of 

“information” does not generally include “affidavits, oaths, affirmations, certifications, receipts, 

changes of address, consents, or acknowledgments; provided that they entail no burden other 

than that necessary to identify the respondent, the date, the respondent’s address, and the nature 

of the instrument.” Thus, requiring the recipient to display merely the name and phone number 

of a contact person falls outside OMB’s definition of “information” and therefore does not 

require OMB approval or negate the exemption, under 5 CFR 1320.3(c)(2), for the PCB marking 

requirements.
--

6

The second exemption is that §761.40(j)(2) allows the use of marks other than that 

prescribed by EPA at §761.45 for PCB Transformers (provided, among other things, that (i) 

those marks were in use before August 15, 1985, (ii) before August 15, 1985, the primary fire 

department accepted the alternative mark, (iii) the EPA Regional Administrator was informed in 

writing of the alternative mark by October 3, 1988, and (iv) the Regional Administrator approved 

the alternative mark within 30 days of receipt). This exception applies only to the discrete 

universe of individuals who were already using alternative markings before August 15, 1985, 

and received EPA’s approval to continue using it. At that time, the PRA did not apply to Agency

requirements that regulated entities disclose information to third parties or the pubic rather than 

to the Agency itself, Dole v. United Steelworkers of America, 110 S. Ct. 929, 938 (1990), such 

as a requirement to display a marking on PCB Transformers.

There are three main types of possible violations for these PCB marking requirements: 

PCB Transformers with (1) no labels, (2) unapproved alternative labels, or (3) inadequate labels 

with missing or incorrect information. Those persons who fail to use any mark and never 

submitted an application for an alternative, and those persons who are using an unapproved 

alternative mark, cannot assert the PRA as an affirmative defense, because they are required to 

use the mark specified in §761.45, which, according to 5 CFR 1320.3(c)(2), does not constitute 

the collection of information.

2(b) Use of the Data

EPA will use the information collected by the 40 CFR 761 requirements to ensure PCBs 

are managed in an environmentally safe manner and that activities are being conducted in 

compliance with the PCB regulations. Tables 2-1, 2-2, and 2-3 contain information on the 

specific use of the data for each information collection.
-7-

TABLE 2-1

REPORTING REQUIREMENTS UNDER TSCA SECTION 6(e), 40 CFR 761

AND USE OF THE COLLECTED DATA: ICR PART A, SECTIONS 2(a) and 2(b)

Ref. 

#

Regulatory 

Section(s)

Collection Requirement 2(b) Use of Collected Information

40 CFR 761

Subpart A—General

1 §761.1(f)(1),(2),

and (3)

Comply with reporting requirements of Subpart J 

(§§761.185 - .187) as a condition to be exempt from the 

manufacturing ban of Subpart B, for persons who: 

inadvertently manufacture or import PCBs generated as 

unintentional impurities in excluded manufacturing 

processes; process, distribute in commerce, or use products 

containing PCBs generated in excluded manufacturing 

processes; or process, distribute in commerce, or use 

products containing recycled PCBs, as per §761.1(f)(1) to 

(3).

Provide means for Agency to verify that individuals who claim manufacturing 

exclusions are generating only allowed quantities of PCBs in the products that 

leave their manufacturing sites. Provide data used to establish who is generating 

new PCBs, where these PCBs are being generated, and in what quantities. Identify 

sites for compliance inspections of those facilities that have reported unusually 

high amounts of PCBs released to products, air, or water. Provide quality control 

in that the regulation encourages manufacturers to audit their operations, quantify 

their PCB releases, and maintain their particular PCB releases within prescribed 

limits. (Also see numbers 42 & 43.)

Subpart B—Use

2 §§761.20(b)and

(c)(1) and (3)

Submit an exemption petition as per TSCA section 6(e)(3) to 

manufacture (import), process, or distribute in commerce 

(export) PCBs, unless otherwise authorized. 

Implement statutory mandate that these activities will not result in an unreasonable 

risk of injury to health or the environment. (Also see numbers 34 and 39.)

3 §§761.30(a)(1)

(vi), (vii), and

(xv)(D)

Register newly discovered PCB Transformers. (See 

Appendix C for EPA Form 7720-12).

Provide EPA and building owners with key information about transformer 

locations. 

4 §§761.30(a)(2)

(v)(C) and

.30(h)(2)(v)(C)

Obtain EPA approval to use alternate method for 

reclassifying transformers.

Provide EPA with adequate information to respond to request for relief from 

regulatory requirement.
TABLE 2-1, continued

REPORTING REQUIREMENTS UNDER TSCA SECTION 6(e), 40 CFR 761

AND USE OF THE COLLECTED DATA: ICR PART A, SECTIONS 2(a) and 2(b)

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8

Ref. 

#

Regulatory 

Section(s)

Collection Requirement 2(b) Use of Collected Information

5 §761.30(i)(1)

(iii)(A)(1) and (C)

Submit a description, at the request of the Regional 

Administrator (RA), of a natural gas pipeline system owned 

or operated by a seller or distributor of natural gas that 

contains >50 ppm PCBs, and make available to EPA, upon 

request, documentation of data and actions to comply with 

the natural gas use authorizations at .30(i)(1)(iii)(A).

Keep EPA informed of the operation and compliance of a natural gas pipeline 

system that contains PCBs. 

6 §761.30(t)(3) Obtain EPA approval for the use of PCBs in other gas or 

liquid systems.

Ensure that the wide variety and sometimes rare cases of PCB-contaminated gas or 

liquid systems are identified and cleaned to <50 ppm.

7 §761.35(b) Obtain EPA approval for an extended storage for reuse 

period.

Prevent indefinite storage of equipment in areas not designed, constructed, or 

operated in compliance with toxic/hazardous waste storage requirements (e.g., 

TSCA §761.65(b) or RCRA 3004 or 3006 facilities).

Subpart D—Storage and Disposal

8 §761.60(e), (i)(2); 

.70(a), (b), and 

(d); .75(b)(7), 

(b)(8)(ii), and (c)

Submit permit application and, when applicable, a demo 

plan for obtaining approval to operate a PCB disposal 

facility (i.e., alternative method of disposal, incinerator, 

chemical waste landfill). Submit requests for approval of 

R&D for PCB disposal for persons not following selfimplementing requirements.

Determine if applications meet the technical and operational criteria for a disposal 

or R&D facility to prevent PCB releases into the environment.

9 §761.60(j)(1)

(i)

Notify EPA to obtain an identification number for 

conducting R&D on PCB disposal activities. (See Appendix 

D for EPA Form 7710-53).

Ensure EPA is knowledgeable of PCB R&D activities (i.e., a waste handling 

activity) to prevent risk of injury to health or the environment. (Also see number 

44.)

10 §761.60(j)(1)

(ii)

Notify EPA (as well as state and local environmental 

officials) of PCB disposal R&D activities.

Keep relevant regional authorities informed of PCB waste handling activities in 

their area.

11 §761.60(j)(2) Obtain EPA’s approval to exceed allowable volume of PCB 

material, maximum concentration of PCBs, total amount of 

pure PCBs or duration of an R&D activity. 

Ensure the PCB R&D disposal activities will not cause risk of injury to health or 

the environment.
TABLE 2-1, continued

REPORTING REQUIREMENTS UNDER TSCA SECTION 6(e), 40 CFR 761

AND USE OF THE COLLECTED DATA: ICR PART A, SECTIONS 2(a) and 2(b)

--

9

Ref. 

#

Regulatory 

Section(s)

Collection Requirement 2(b) Use of Collected Information

12 §§761.61(a)

(3)(i) and (ii)

Notify EPA (as well as state, tribal, and local) officials of 

self-implementing remediation activity, including a 

summary of the procedures used to sample contaminated 

areas and sample collection and analysis data; submit 

additional information as requested; and certify that records 

of remediation activity are on file at the location designated 

in the certificate.

Allow for flexibility in self-implementing remediation by keeping proper 

authorities informed of remediation activities.

13 §761.61(a)(3)

(ii)

Notify EPA of changes to notification of self-implementing 

activities.

Allow for flexibility in self-implementing remediation by keeping proper 

authorities informed of remediation activities.

14 §761.61(a)(3)

(iii)

Request a waiver of the notification requirement for 

conducting cleanup of PCB remediation waste.

Allow for flexibility in self-implementing remediation by keeping proper 

authorities informed of remediation activities. 

15 §761.61(a)(8)

(i)(B)

Submit certification to EPA that the deed notation required 

by §761.61(a)(8)(i)(A) has been recorded. 

Ensure proper notification to potential land owners of PCB history at the site.

16 §761.61(c)(1) Apply for risk-based disposal of PCB remediation wastes. 

Submit additional information as requested by EPA.

Allow EPA, on an as-requested basis, to assess proposed disposal option and 

ensure that it will not present risk of injury to health or the environment.

17 §761.62(c)(1) Obtain approval for risk-based disposal or storage of PCB 

bulk product waste. Provide additional information and 

periodic progress reports, as requested by EPA.

Allow EPA, on an as-requested basis, to assess proposed disposal or storage option 

and ensure that it will not present a risk of injury to health and the environment.

18 §761.65(a)(2) Provide notification that continuing attempts to dispose of or 

secure disposal for PCB waste within the 1-year time frame 

have been unsuccessful, for which EPA may grant an 

automatic 1-year extension.

Show good faith attempts to secure disposal of PCB wastes. Allow EPA to 

evaluate whether the 1-year time frame for storage should be extended and ensure 

that appropriate treatment and disposal options are being pursued.

19 §761.65(a)(3) Submit requests for additional extensions beyond the initial 

1-year extension, including justification and information on 

measures taken to secure disposal.

Ensure that appropriate treatment and disposal options are being pursued.
TABLE 2-1, continued

REPORTING REQUIREMENTS UNDER TSCA SECTION 6(e), 40 CFR 761

AND USE OF THE COLLECTED DATA: ICR PART A, SECTIONS 2(a) and 2(b)

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10

Ref. 

#

Regulatory 

Section(s)

Collection Requirement 2(b) Use of Collected Information

20 §761.65(a)(4) Submit request for modifications to TSCA approval to allow 

for extended storage period.

Allow EPA to assess whether a facility is likely to present an unreasonable risk of 

injury as a result of being granted approval to extend the storage timeframes for the 

disposal of PCB waste.

21 §761.65(c)(6)

(i)(C)

Demonstrate to the EPA Regional Administrator and other 

appropriate regulatory authorities (i.e., Nuclear Regulatory 

Commission, DOE, or DOT), that the use of other containers 

for the storage of liquid and non-liquid PCB/radioactive 

wastes is protective of health and the environment.

Allow flexibility in using unique container designs that meet the criteria for 

containers used to store liquid or non-liquid PCB/radioactive waste. 

22 §761.65(d); 

(e)(1), (6), and 

(8); and (f)

Prepare application for commercial storage approval, 

including qualifications of key employees, closure plan, and 

closure cost estimate. Commercial storer must also notify 

EPA of facility modification, closure schedule, and 

completion of closure activities.

Allow EPA to assess operational capabilities, to determine whether storers/ 

disposers of PCB wastes have the ability to close their facilities in a safe manner, 

and to prohibit intermediate handlers of PCBs who are financially unable to close 

their facilities from becoming potential Superfund sites.

23 §761.65(e)(4) Submit a written request to the EPA Regional Administrator

to modify a storage approval to amend the closure plan, 

when there are changes in ownership, changes in expected 

dates of closure, and/or unexpected events.

Ensure proper management of storage facilities.

24 §761.65(g)(9) Notify issuing authority of modifications to commercial 

storage facilities.

Ensure financial assurance mechanism is adequately funded.

25 §§761.65(j) Demonstrate that a new owner of a commercial storage 

facility has established financial assurance for closure. 

Submit new or amended commercial storage application as a 

result of change in ownership.

Ensure proper management of storage facilities and handling of PCB wastes prior 

to approving changes in ownership. 

26 §§761.70(a)(8), 

(9); and (d)(5)

Obtain approval of alternate measures when regulatory 

requirements cannot be met for operating a PCB incinerator.

Allow EPA to assess adequacy of alternate procedures for use at incinerators.

27 §§761.70(d)

(8); 761.75 (c) (7)

Notify EPA of change in ownership of disposal facility (i.e., 

incinerators and landfills).

Allow EPA to determine whether transfer will present risk of injury to health and 

environment.
TABLE 2-1, continued

REPORTING REQUIREMENTS UNDER TSCA SECTION 6(e), 40 CFR 761

AND USE OF THE COLLECTED DATA: ICR PART A, SECTIONS 2(a) and 2(b)

--

11

Ref. 

#

Regulatory 

Section(s)

Collection Requirement 2(b) Use of Collected Information

28 §§761.71(a)(2) 

and (b)(2)

Notify EPA prior to initial use of high efficiency boiler to 

burn mineral oil dielectric fluid. Seek approval to burn 

liquids, other than mineral oil dielectric fluid in a HEB.

Ensure that the operation of high efficiency boilers will not present a risk of injury 

to health or the environment.

29 §§761.72(c)(2) Notify EPA as a scrap metal recovery oven or smelter used 

to dispose of PCBs and comply with the reporting 

requirements of Subparts J and K.

Ensure that the operation of industrial furnaces will not present risk of injury to 

health or the environment. (Also see number 44.)

30 §761.72(c)(3) Submit written request to the EPA Regional Administrator 

based on site-specific risk assessments, in lieu of meeting 

requirements listed in §761.72.

Allow EPA to assess whether scrap metal recovery oven and/or smelter operation 

will present risk of injury to health or the environment.

31 §§761.77(a)(1)(i),

(a)(1)(ii)(A)(1) 

and (C), and 

.77(a)(2)

Submit a notification to the EPA Regional Administrator for 

coordinated approval and additional information, as 

requested by EPA. Submit an application for TSCA 

disposal approval, if the Regional Administrator denies the 

request for a coordinated approval or determines that the 

conditions of the coordinated approval are not being met. 

Allow EPA to assess whether facilities seeking coordinated approval properly 

manage PCB wastes and recognize the federal or state waste management 

documents governing the properly managed facilities, thus contributing to more 

efficient use of limited resources.

32 §761.77(a)(3) Notify EPA of changes in waste management requirements 

in the non-TSCA waste management document used to 

obtain TSCA PCB coordinated approvals.

Ensure the proper handling of PCB wastes.

33 §§761.79(h) Submit requests for approvals of alternative decontamination 

or sampling methods, for any person decontaminating 

porous surfaces other than concrete, as per paragraph (b)(4), 

or non-porous surfaces covered with a porous surface, as per 

paragraph (b)(3) or (c)(6), and/or by using a selfimplementing procedures other than prescribed in paragraph 

(c). EPA may request additional information.

Allow EPA, on an as-requested basis, to ensure that decontamination methods will 

not pose risk of injury to health or the environment.

Subpart E—Exemptions
TABLE 2-1, continued

REPORTING REQUIREMENTS UNDER TSCA SECTION 6(e), 40 CFR 761

AND USE OF THE COLLECTED DATA: ICR PART A, SECTIONS 2(a) and 2(b)

--

12

Ref. 

#

Regulatory 

Section(s)

Collection Requirement 2(b) Use of Collected Information

34 §§761.80(e)(1)

and (i)(1)

Submit petition to qualify for the class exemptions for 

manufacturing PCBs for disposal R&D and for the 

manufacture, import, processing, distribution, and export of 

PCBs and analytical reference samples derived from PCB 

waste for R&D.

Allow EPA, on an as-requested basis, to assess whether a facility meets the criteria 

for being granted an exemption. Minimize negative impacts from the relatively 

time-consuming statutory process for individual companies seeking an exemption 

from the prohibition on manufacturing, processing, and distributing in commerce 

of PCBs. [Statutory requirement] (Also see numbers 2 and 39).

35 §761.80(e), (i)(2) 

and (n)

Submit requests for renewal of the class exemptions. Allow EPA, on an as-requested basis, to ensure that facility operations will not 

pose risk of injury to health or the environment.

36 §§761.80(e)

(3), (g)(2), and 

(i)(4)

Obtain approval from EPA to exceed limits of the 

exemption.

Allow EPA, on an as-requested basis, to ensure that facility operations will not 

pose risk of injury to health or the environment.

37 §761.80(e)(4) Notify EPA before beginning R&D activities that include 

the manufacture of PCBs.

Ensure that facility operation will not pose risk of injury to health or the 

environment.

38 §761.80(n) Submit a petition for certain exemptions to address increases 

in the amount of PCBs to be processed and distributed, 

imported (manufactured), or exported, or changes in the 

manner of processing and distributing, importing 

(manufacturing), or exporting PCBs.

Allow EPA, on an as-requested basis, to ensure that facility operations will not 

pose risk of injury to health or the environment.

Subpart F—Transboundary Shipments of PCBs for Disposal

39 §§761.93(a)

and .97(a)

Submit an exemption petition as per TSCA section 6(e)(3) to 

import PCBs or PCB Items for disposal.

Allow EPA, on an as-requested basis, to ensure that the import and export of PCBs 

and PCB Items will not pose a risk of injury to health or the environment. 

[Required by Statute.] (See number 2.)

Subpart G—PCB Spill Cleanup Policy
TABLE 2-1, continued

REPORTING REQUIREMENTS UNDER TSCA SECTION 6(e), 40 CFR 761

AND USE OF THE COLLECTED DATA: ICR PART A, SECTIONS 2(a) and 2(b)

--

13

Ref. 

#

Regulatory 

Section(s)

Collection Requirement 2(b) Use of Collected Information

40 §761.125(a)(1) (i) 

to (iii)

Report certain spills of PCBs to EPA. Request guidance 

from the EPA Regional Administrator in completing 

statistical sampling of the spill area to establish spill 

boundaries, where there are no visible traces of 

contamination. 

Make reporting consistent with CERCLA requirements and facilitate cleanup of 

PCBs, to prevent exposure to PCBs.

Subpart J—General Records and Reports

41 §§761.180(b)

(3) and (c)(5)

Submit annual reports for the operation of PCB incinerators, 

chemical waste landfills, high efficiency boilers, and 

commercial storage facilities, including facilities that 

dispose of the PCB wastes they generate. Report suspension 

of operations.

Fill gaps in EPA’s knowledge of how PCB wastes are being handled and allow the 

Agency to respond to public and Congressional inquiries. Enable EPA to more 

effectively target disposal facilities for inspection and compliance monitoring.

41a §761.180(g) Provide records pertaining to the reclassification of PCB 

equipment, if requested by EPA.

Address EPA’s concerns regarding reclassification procedures and results for the 

specified equipment. (Also see number 68a.)

42 §§761.185 Notify EPA and certify low level PCB product 

contamination to be exempt from the requirements of 

Subpart B, regarding processes inadvertently generating 

PCBs and imports of products containing inadvertently 

generated PCBs. Certification must be repeated if the 

previous certification is no longer valid.

Ensure products do not reach U.S. markets with unacceptably high levels of PCBs.

43 §761.187 Notify EPA when PCB releases exceed limits, to be exempt 

from the requirements of Subpart B, for products, 

manufactured or imported with inadvertently generated 

PCBs.

Ensure that facility operations will not pose risk of injury to health/environment.

Subpart K—PCB Waste Disposal Records and Reports

44 §§761.202(a); 

205(a) to (c)

Notify EPA of waste handling activities, for generators, 

commercial storers, transporters, or disposers of PCB waste.

Inform EPA of generators, storers, transporters, and disposers of PCB waste so that 

the Agency can ensure compliance with applicable regulations.
TABLE 2-1, continued

REPORTING REQUIREMENTS UNDER TSCA SECTION 6(e), 40 CFR 761

AND USE OF THE COLLECTED DATA: ICR PART A, SECTIONS 2(a) and 2(b)

--

14

Ref. 

#

Regulatory 

Section(s)

Collection Requirement 2(b) Use of Collected Information

45 §761.205(f) Report changes in notifications previously submitted by 

PCB waste handlers (i.e., amended notification).

Ensure that PCB waste handlers are operating within the proper criteria.

46 §§761.208(a)

(4) and .215(b)

to (d)

Submit Exception Reports to EPA when PCB waste 

generators, disposers, and/or commercial storers do not 

receive confirmation that a shipment of a PCB waste has 

been properly disposed of.

Track the movement of PCB waste to ensure they arrive at intended storage or 

disposal site.

47 §761.210(b) Submit Discrepancy Reports and copies of manifests to EPA 

when the PCB waste received by a disposer is significantly 

different from the description on the manifest that 

accompanies it, and the discrepancy is not resolved within 

15 days after receiving the PCB waste. 

Enable EPA to investigate potential violations and prevent further environmental 

contamination. Target companies for inspection.

 

48 §§761.211(b) Notify EPA Regional Administrator of unmanifested PCB 

waste, for owners/operators of commercial storage facilities 

who cannot contact the generator of the PCB waste.

Enable EPA to investigate potential violations and prevent further environmental 

contamination. Target companies for inspection.

 

49 §761.211(c) Submit Unmanifested Waste Reports (e.g., waste 

description, volume, disposition; date received; ID numbers 

of waste handlers for that waste) to EPA when disposers 

accept a shipment of PCB waste without an accompanying 

manifest.

Enable EPA to investigate potential violations and prevent further environmental 

contamination. Target companies for inspection.

Subpart T—Comparison Study for Validating a New Performance-Based Decontamination Solvent under §761.79(d)(4)

50 §§761.395 and

398(a)

Submit results of analysis and validation study to the 

Director, National Program Chemicals Division (NPCD).

Allow EPA to confirm and publish findings in the Federal Register of new 

decontamination procedures.
-15-

TABLE 2-2

THIRD-PARTY NOTIFICATION REQUIREMENTS AUTHORIZED UNDER TSCA SECTION 6(e)

AND USE OF THE COLLECTED DATA: ICR PART A, SECTIONS 2(a) and 2(b)

Ref. 

#

Regulatory 

Section(s)

Collection Requirement 2(b) Use of Collected Information

40 CFR 761

Subpart B—Use

51 §§761.20(e)(3)

(ii);.30(i)(5)

(ii); and .60(b)

(5)(iv)(B)

Burner of used oil must provide a 1-time certification to the 

marketer that he is in compliance with notification 

requirement at §761.71(a)(2).

Limits distribution of used oil containing PCBs to authorized burners.

52 §§761.30(a)

(1)(xi) and

(xv)(A);

30(h)(1)

(ii)(B)

Report PCB Transformers and Voltage Regulator fire 

incidents to the National Response Center. 

Provide Federal officials with notice of individual and the environmental exposure 

to PCBs.

53 §761.30(a)(1)

(xiv)

Notify owner of PCB Transformer that equipment may pose 

risk of exposure to food or feed.

Allow determination to be made regarding risk of exposure to food and feed.

54 §761.30(a)(1)

(xv)(D)

Register PCB Transformers with the building owner within 

30 days of discovery.

Provide local notice of the existence of PCBs.

Subpart D—Storage and Disposal

55 §761.60(a)(3)

(ii)

Provide information to chemical waste landfills that liquids 

do not exceed 500 ppm and are not ignitable.

Prevent release of PCBs and provide flexibility in disposal options for incidental 

liquids, making the rule consistent with RCRA land ban restrictions.

56 §761.60(b)(5)

(i)(A)(1)

Include abandoned natural gas pipes that contain PCBs in 

public service notification programs. 

Prevent exposure to PCBs.

57 §761.60(f)(1)

(i)

Provide state and local officials with notification prior to the 

first use of an approved chemical waste landfill, incinerator, 

or alternate PCB disposal technology. 

Inform relevant authorities of the operation of a PCB disposal facility in their 

region.
TABLE 2-2, continued

THIRD-PARTY NOTIFICATION REQUIREMENTS AUTHORIZED UNDER TSCA SECTION 6(e)

AND USE OF THE COLLECTED DATA: ICR PART A, SECTIONS 2(a) and 2(b)

--

16

Ref. 

#

Regulatory 

Section(s)

Collection Requirement 2(b) Use of Collected Information

58 §761.60(f)(1)

(ii)

Provide annual notice of the quantities and general 

description of the PCBs disposed of during the year, at the 

request of any state or local government.

Keep relevant authorities informed of PCB activities in their region.

59 §761.60(j)(1)

(ii)

Notify state, and local environmental officials (as well as 

EPA) of PCB disposal R&D activities.

Keep relevant regional authorities informed of PCB waste handling activities in 

their area.

60 §761.60(j)(1)

(vii)

Manifest, pursuant to Subpart K, all PCB wastes that are 

generated by R&D on PCB disposal and transported from 

the R&D facility to a commercial storage or disposal 

facility, unless the residuals or unused samples are returned 

to the site of generation.

Ensure proper handling and disposal of PCB wastes.

61 §§761.61(a)

(3)(i) 

Notify state, and local environmental officials (as well as 

EPA) of self-implementing remediation activity.

Allow for flexibility in self-implementing remediation by keeping proper 

authorities informed of remediation activities.

62 §761.61(a)(5)

(i)(B)(2)(iv)

Notify offsite non-TSCA facility of pending shipment of

remediation waste.

Ensure proper handling of PCB wastes.

63 §761.61(a)(8)

(i)(A)

Attach a notation to the deed for property at which 

remediation projects require a permanent fence or cap.

Ensure potential buyer is aware property is site of PCB remediation.

64 §§761.62(b)

(4)(i) and (ii) 

Provide notification to a receiving facility that does not have 

a commercial PCB storage or disposal approval before the 

first shipment of a PCB bulk product waste stream. In 

addition, for certain waste this notice must be provided with 

each shipment thereafter.

Ensure proper storage and disposal for PCB bulk product waste. (See also

§§761.357 and 761.359.)

65 §761.65(c)(1) and 

(8)

Attach a notation to a PCB Item or PCB Container 

containing the item indicating the date the Item was 

removed from service.

Facilitate the proper storage and disposal of PCB Items and Containers.
TABLE 2-2, continued

THIRD-PARTY NOTIFICATION REQUIREMENTS AUTHORIZED UNDER TSCA SECTION 6(e)

AND USE OF THE COLLECTED DATA: ICR PART A, SECTIONS 2(a) and 2(b)

--

17

Ref. 

#

Regulatory 

Section(s)

Collection Requirement 2(b) Use of Collected Information

66 §761.65(i)(3) Send information regarding the sample collector, the lab, 

date of shipment, quantity, and description of sample, when 

sending PCB samples to a laboratory for testing.

Inform workers of appropriate contact information to ensure proper handling of 

PCBs. 

Subpart G—PCB Spill Cleanup Policy

67 §761.125(a)(1) Report certain spills of PCBs to the National Response 

Center.

Make reporting consistent with CERCLA requirements and facilitate cleanup of 

PCBs, to prevent exposure to PCBs.

68 §761.125(c)

(2)(ii)

Place label or notice of PCB contamination at cleanup site. Inform personnel of presence of low level PCB contamination.

Subpart J—General Records and Reports

68a §761.180(g) Provide records pertaining to the reclassification of PCB 

equipment, if requested by recipients of equipment.

Address recipient’s concerns regarding liability for improper reclassification. 

(Also see number 41a.)

Subpart K—PCB Waste Disposal Records and Reports

69 §§761.207(a) and 

.208(a)(2) and (3)

Prepare manifests and provide generator-initiated manifests 

of PCB waste to each transporter or designated commercial 

storage or disposal facility. 

Ensure proper tracking of PCB waste shipments.

70 §§761.208(c)

(1)(iv) and 

(c)(2)(iv)

Storer or disposer sends a copy of the manifest or shipping 

paper to the generator.

Ensure proper tracking of PCB waste shipments.

71 §§761.218(a) and 

(b)

Send Certificates of Disposal to generators of PCB waste 

when disposal of each item is complete for a manifested 

PCB waste shipment. 

Enable generators to confirm that each PCB Item in a shipment has been disposed 

of legally. Assure generator that the PCB waste has been disposed of and is in the 

final step of the cradle-to-grave monitoring of PCB waste.
-18-

TABLE 2-3

RECORDKEEPING REQUIREMENTS AUTHORIZED UNDER TSCA SECTION 6(e) 

AND USE OF THE DATA: FOR ICR PART A, SECTIONS 2(a) and 2(b)

Ref. 

#

Regulatory 

Section(s)

Collection Requirement 2(b) Use of Collected Information 

40 CFR 761

Subpart A—General

72 §761.1(f) Comply with recordkeeping requirements of Subpart J 

(§761.185 - .193) as a condition of the exclusion from the

manufacturing, processing, distribution in commerce, and 

use bans of Subpart B, for persons who inadvertently 

manufacture or import PCBs generated as unintentional 

impurities in excluded manufacturing processes, or generate 

PCBs in excluded manufacturing process or products with 

recycled PCBs, as defined in §761.3. 

Provide quality control that encourages manufacturers to audit their operations, to 

quantify their PCB releases, and to maintain their particular PCB releases within 

the limits that will assure that they have generated only trace amounts of PCBs. 

(See number 100.)

Subpart B—Manufacturing, Processing, Distribution in Commerce, and Use of PCBs and PCB Items

73 §§761.20(e)

(4)(i) and (ii);

.30(i)(5)(ii); and

.60(b)(5)(iv)

(B)

Marketer who first claims used oil does not contain 

detectable PCBs must retain records supporting the claim 

and a copy of each certification notice received or prepared 

relating to transactions involving PCB-containing used oil. 

Burners must include among the records a copy of each 

certification notice that has been provided to a marketer of 

PCB-containing used oil.

Allow EPA to verify compliance with the used oil provisions.

74 §§761.30(a)(1)

(xii) and (xiv)

Maintain records of inspection and maintenance history for 

at least 3 years after the disposal of a PCB Transformer, 

including records of registration, as per 

§761.30(a)(1)(vi)(C).

Allow EPA to verify compliance with the regulations and that PCB equipment was 

registered.
TABLE 2-3, continued

RECORDKEEPING REQUIREMENTS AUTHORIZED UNDER TSCA SECTION 6(e) 

AND USE OF THE DATA: FOR ICR PART A, SECTIONS 2(a) and 2(b)

--

19

Ref. 

#

Regulatory 

Section(s)

Collection Requirement 2(b) Use of Collected Information 

75 §§761.30(a)(2)(v)

(C) and (D); 761 

.30(h)(2)(C) and 

(D) and 761.180 

(g)

Maintain records at the facility where PCB electrical 

equipment (i.e., transformers, voltage regulators, 

electromagnets, switches) has been reclassified to a lower 

PCB concentration.

Assist EPA in tracking the ultimate disposition of PCB equipment. 

76 §§761.30(i)(1)

(iii)(B) and (C) 

Keep records of data collected on natural gas pipeline 

systems that do not include sources of PCB contamination 

(e.g., natural gas compressors, natural gas scrubbers, and 

natural gas filters) but contain ≥50 ppm PCB. Retain data 

and records of actions taken to reduce PCB contamination 

by owners or operators of natural gas pipeline systems.

Be able to demonstrate the reduction of PCB levels in a natural gas pipeline 

system. 

77 §761.35(a)(2) Keep records of equipment stored for reuse. Ensure the proper handling of equipment stored for reuse.

Subpart C—Marking of PCBs and PCB Items

78 §761.40(c)(2)

(ii) and (k)

Keep records of the protected location of PCB Large Low 

and High Voltage Capacitors, in lieu of marking. 

Have information available for preventing exposure to PCBs and allow flexibility 

in compliance with marking requirement.

Subpart D—Storage and Disposal

79 §761.60(j)(1)

(ix)

Keep records of R&D for disposal activities. Have information ensuring the proper management of R&D for disposal activities.
TABLE 2-3, continued

RECORDKEEPING REQUIREMENTS AUTHORIZED UNDER TSCA SECTION 6(e) 

AND USE OF THE DATA: FOR ICR PART A, SECTIONS 2(a) and 2(b)

--

20

Ref. 

#

Regulatory 

Section(s)

Collection Requirement 2(b) Use of Collected Information 

80 §§761.61(a)

(3)(i)(E); and

(a)(6)

Retain records of the sampling plans, sample collection 

procedures, sample preparation procedures, extraction 

procedures, and instrumental/chemical analysis procedures 

used to assess or characterize the PCB contamination at the 

cleanup site, and certification that these records are on file at 

the location designated in the certificate. Keep records of 

comparison studies for any alternate method used that meet 

or exceed the requirements of §761.326. Keep records of 

sampling and sample analysis to verify cleanup and on-site 

disposal of bulk PCB remediation wastes and porous 

surfaces, as per Subpart O, §761.295.

Allow EPA inspectors to ensure the proper operation of PCB remediation 

activities. (See also §§761.295.)

81 §761.61(a)(3)

(iii)

Retain the original written waiver of the 30-day notification 

requirement for conducting a cleanup activity of PCB 

remediation waste.

Allow EPA to track administrative decisions regarding self-implementing 

remediation projects. 

82 §761.61(a)(9) Keep records in accordance with §761.125(c)(5) for (a)(3), 

(a)(4), and (a)(5) of this part.

Ensure that a remediation site has been properly decontaminated. (See number 

97.)

83 §761.62(b)(5) Maintain a written record of all sampling and analysis of 

PCBs or notifications made under this part for 3 years from 

the date of its creation and make available to EPA upon 

request.

Allow EPA to assess whether PCB bulk product wastes are properly handled.

84 §§761.65(a)

(2)(ii) and (a)(3)

Keep a written record of attempts to secure disposal 

capacity. If requested, keep records of PCB wastes stored 

beyond the 1-year storage extension.

Ensure that PCB wastes stored beyond the 1-year storage extension do not pose 

unreasonable risk of injury to health and the environment.

85 §761.65(c)(1)

(iv)

Prepare/modify Spill Prevention, Control, and 

Countermeasure Plans to address liquid PCBs >500 ppm, to 

be able to temporarily store PCB Containers containing 

liquid PCBs in areas that do not comply with the storage 

requirements of §761.65.

Ensure that adequate remediation measures have been defined and can be taken to 

avoid exposure to PCBs in the event of a PCB spill.
TABLE 2-3, continued

RECORDKEEPING REQUIREMENTS AUTHORIZED UNDER TSCA SECTION 6(e) 

AND USE OF THE DATA: FOR ICR PART A, SECTIONS 2(a) and 2(b)

--

21

Ref. 

#

Regulatory 

Section(s)

Collection Requirement 2(b) Use of Collected Information 

86 §761.65(c)(7)

(ii)

Prepare a Spill Prevention, Control, and Countermeasure 

Plan (SPCC) when using large stationary storage containers, 

as per 29 CFR 1910.106, for liquid PCBs.

Ensure that adequate remediation measures have been defined and can be taken to 

avoid exposure to PCBs in the event of a PCB spill.

87 §761.65(c)(8) Keep records of the quantity and the date of each batch 

added to the stationary storage container.

Allow EPA to monitor content of stationery storage containers.

88 §§761.65(c)

(10) 

Establish and maintain records as per §761.180 for the 

storage and disposal of PCBs and PCB Items ≥50 ppm.

Allow EPA to assess whether PCBs and PCB Items are being properly stored for 

disposal. (See number 99.)

89 §§761.70(a)

(3), (4) and (7); 

(c); and 

761.180(c)

Maintain for incinerators records of quantities, feed rates, 

temperatures, combustion products, and operations, and 

special records, as per §761.180(c); retain records for 5 

years. 

Allow monitoring of incinerator operations.

90 §§761.71(a)

(1)(vi) and (vii), 

(a)(4), (b)(1)(vivii), and (b)(5); 

and .180(e)

Record feed rate, carbon dioxide emissions, the quantity of 

low concentration PCB liquid burned in a high efficiency 

boiler each month, and the analyses of the waste burned in 

high efficiency boilers and retain the records for 5 years.

Allow EPA to assess whether a high efficiency boiler has operated according to the 

required specifications.

91 §761.72(a)(9) and 

(b)(6)

Record and retain records of temperature readings from 

scrap metal recovery ovens.

Allow EPA to assess whether scrap metal recovery ovens and smelters are operated 

according to the required specifications.

92 §§761.75(b)

(6)(iii) and 

(b)(8)(iv); 

761.180(d)

Maintain records for all PCB disposal operations at chemical 

waste landfills, including PCB concentration in liquid 

wastes, the three-dimensional burial coordinates for PCBs 

and PCB Items, water sampling and analysis, and additional 

records as required in §761.180; retain records for at least 20 

years after the facility ceases disposal operations. 

Allow EPA to assess whether disposal facilities are operating in compliance with 

regulatory requirements.

93 §761.79(d)(4) and 

Subpart T

Retain test/validation results of performance-based organic 

decontamination fluids (PODFs) and verified aqueous 

decontamination fluids (VADFs).

Allow EPA to ensure that a decontamination activity used proper decontamination 

fluids.
TABLE 2-3, continued

RECORDKEEPING REQUIREMENTS AUTHORIZED UNDER TSCA SECTION 6(e) 

AND USE OF THE DATA: FOR ICR PART A, SECTIONS 2(a) and 2(b)

--

22

Ref. 

#

Regulatory 

Section(s)

Collection Requirement 2(b) Use of Collected Information 

94 §§761.79(f)(1) 

and (2)

Keep records for 3 years of confirmatory sampling and 

sampling locations/results for decontamination activities and 

compliance with self-implementing procedures.

Allow EPA to assess whether a decontamination activity was properly 

implemented.

Subpart E—Exemptions

95 §§761.80(e) (5) 

and (i)(7)

Keep records of activities associated with 

manufacture/processing/distribution in commerce of PCBs 

or PCB reference samples derived from waste materials for 

R&D; retain records for 3 years after operations cease.

Ensure accountability for PCB activities otherwise banned by statute.

96 §761.80(g)(1) Keep records of activities associated with the processing and 

distribution in commerce of small quantities PCBs for R&D.

Ensure accountability for PCB activities otherwise banned by statute.

Subpart G—PCB Spill Cleanup Policy

97 §§761.125(b)

(3) and (c)(5); 

.61(a)(9)

Maintain records of cleanup and certification of 

decontamination for 5 years, for low- and high-concentration 

spills.

Allow EPA to assess compliance with requirements and pursue enforcement 

actions, when appropriate.

98 §761.125(c)

(1)

Maintain records documenting delay in spill cleanup 

activities and areas of visible contamination. 

Allow EPA to assess compliance with requirements and pursue enforcement 

action, when appropriate.

Subpart J—General Records and Reports

99 §§761.180(a), 

(a)(4), (b) and (f); 

761.65(c) (5)

Maintain annual records and written annual document log 

for PCBs and PCB Items for 3 years after facility ceases 

PCB activities, including signed manifests, Certificates of 

Disposal, records of inspections and cleanups, facility and 

Item identification information, total number of Items, 

telephone records, and PCB Item transfer information. 

Collect and maintain documents, correspondence and data 

pertaining to storage/disposal of PCBs that have been 

provided to as well as received from any state or local 

Allow EPA to assess compliance with requirements and pursue enforcement 

action, when appropriate.
TABLE 2-3, continued

RECORDKEEPING REQUIREMENTS AUTHORIZED UNDER TSCA SECTION 6(e) 

AND USE OF THE DATA: FOR ICR PART A, SECTIONS 2(a) and 2(b)

--

23

Ref. 

#

Regulatory 

Section(s)

Collection Requirement 2(b) Use of Collected Information 

government agency and any application/correspondence 

submitted to local, state, or federal permitting authorities.

100 §§761.185(c)

(2), (d) and .193 

(a) and (b)

Maintain theoretical analysis or monitoring records by 

persons who import, manufacture, process, distribute in 

commerce, or use products containing inadvertently 

generated or recycled PCBs, pursuant to §761.1(f)(1) to (3). 

Maintain letter certifying compliance with §761.1(f), for 

excluded manufacturing processes.

Allow EPA to ensure the proper management of PCB activities.

101 §§761.208 and 

761.209

File and maintain manifests initiated or received by a PCB 

waste handling facility (i.e., generators, transporters, 

commercial storers and disposers) and maintain records of 

all telephone and other conversations regarding manifest 

communications, which are to be included in the annual log 

in accordance with §761.180.

Provide a record of the fate of each waste shipment sent to a disposal site, allowing 

EPA to determine if a waste had been properly or improperly disposed.

102 §761.218(c) Maintain a copy of each Certificate of Disposal received 

from disposers, for generators and commercial storers of 

PCB waste.

Provide a record of the disposal of a waste shipment, allowing EPA to determine if 

a waste has been properly or improperly disposed.

Subpart T—Comparison Study for Validating a New Performance-Based Decontamination Solvent under §761.79(d)(4)

103 §761.398(c) Record testing parameters and experimental conditions in 

standard operating procedures (SOP). Results of validation 

study are to be affixed as an appendix.

Allow EPA to assess compliance with requirements and pursue enforcement 

action, when appropriate.
--

24

3. NON-DUPLICATION, CONSULTATIONS, AND OTHER COLLECTION 

CRITERIA

3(a) Non-Duplication 

TSCA section 6(e) assigns the responsibility for regulating the manufacture, processing, 

distribution in commerce, use, storage, and disposal of PCBs to the EPA Administrator. All of 

the information requested under this ICR is required by the statute and the implementing 

regulations at 40 CFR 761 and is not available from other sources. The information collection 

requirements addressed in the ICR are not duplicative of any other Federal agency legislation. 

No other Federal agency requires respondents to report or maintain information on the 

manufacturing, processing, or distribution in commerce of PCBs.

For example, the notification and recordkeeping requirements of §§761.185, 761.187, 

and 761.193 comprise the sole source of information EPA relies on to identify the manufacturing 

sites that inadvertently manufacture PCBs and to verify that the members who have certified 

their eligibility for the exclusion are not exceeding the prescribed limits on PCB releases. Over 

time, reviewers of the PCB ICRs have suggested that the TSCA PCB requirements are 

duplicative of TSCA inventory Form U reports, EPCRA Tier I and II reports, and Customs 

records that presumably could be used by EPA to identify a product’s PCB concentration 

(§§761.185 and .187); that RCRA, CWA, CAA, and CERCLA could be used by EPA to address 

air and water emissions and process waste concerns (§761.187); and that EPCRA reporting 

requirements could be used by EPA to identify locations of PCB Transformers and PCB releases 

(§§761.30(a)(1) and .187). However, none of these requirements begin to address the concerns 

that are being tracked under the TSCA PCB regulations. For example, Customs records collect

information on importation (i.e., chemical products, points of entry, and quantities, not products 

with de minimis levels of PCBs). The EPCRA and TSCA inventory reports do not gather 

information at the levels that would be useful under the PCB regulations. Finally, the RCRA, 

CWA, CAA, and CERCLA provisions cannot be used to monitor PCB concentrations in 

consumer products or to prescribe disposal procedures for PCBs.

3(b) Public Notice Required Prior to ICR Submission to OMB

In proposing to renew this ICR, EPA provided a 60-day public notice and comment 

period that ended on February 28, 2010 (75 FR 82007). EPA received two sets of comments, 

from the Utilities Solid Waste Activities Group (USWAG) and the Color Pigments Manufactures 

Association (CPMA). A copy of the memorandum containing EPA’s responses to these 

comments appears as Appendix E to this Supporting Statement. The public comments can be 

found at www.regulations.gov, at docket ID number EPA-HQ-OPPT-2010-0910.

CPMA commented that the cost estimates for the burden of compliance provided in the 

PRA supporting statement significantly underestimate the costs of compliance with the reporting 

obligations because the cost of management time is missing from the estimate of costs. This 

comment did not provide sufficient detail on what amount of management supervision is needed 
--

25

for the maintenance of records. However, EPA agrees that a minimal amount of management 

supervision is necessary to ensure records are compiled and maintained. Accordingly, EPA 

revised its burden estimate to include 0.5 hours of managerial time and reduced its estimate of 

the technical time by 0.5 hours (Ref. 100) and the Supporting Statement has been edited 

accordingly where appropriate.

3(c) Consultations

On numerous occasions during the course of regulating PCBs, the Agency has consulted 

with the regulated community and the public. These consultations have been held directly with 

industry officials and, on an ongoing basis, with owners and operators of regulated facilities, 

during EPA enforcement activities and facility inspections. For example, when developing the 

rules pertaining to PCB Transformer use, EPA consulted with the Department of Agriculture, 

U.S. Department of Health and Human Services, and the Small Business Administration. To 

obtain information on the numbers of transformers subject to the requirements, EPA consulted 

with the Edison Electric Institute, Equitable Life Assurance, and the Building Owners and 

Managers Association. As a result of the promulgated Electrical Equipment Use Rule, EPA has 

consulted with various organizations and agencies on an ongoing basis. EPA also meets 

annually with representatives from more than 50 utilities and electric cooperatives who have 

verified the burden estimates related to inspection recordkeeping requirements for PCB 

Transformers. The most recent of these meetings, sponsored by Regulatory Compliance 

Services, Inc., was the National Convention held in October 2010, in Springfield, Missouri.

In conjunction with the current proposed rulemaking, Polychlorinated Biphenyls (PCBs) 

Reassessment of Use Authorizations, EPA has held six public meetings to gather input from key

stakeholders in addition to requesting comments in the advance notice of proposed rulemaking. 

The meetings were held in New York City on May 4, 2010; in Chicago on May 18, 2010; in 

Atlanta on May 25, 2010; in Washington, DC on May 27, 2010; in San Francisco on July 22, 

2010; and in New York City on July 29, 2010. 

This current ICR renewal effort also involved gathering information about the number of 

notifications the Agency has received over the past three years for the various reporting burdens 

(see Table 2-1) and the number of PCB spills reported to the National Response Center in 2009

(U.S. Coast Guard, 2009). It also involved using information gathered for preparing Appendix A: 

Data Acquisitions Report for an Economic Analysis of Phasing Out PCB Transformers and 

Large Capacitors, including information obtained from conversations with regulated entities 

(U.S. EPA, 2004a). For this project, the Agency consulted with large and small utilities, electric 

cooperatives, PCB waste handlers and equipment owners, analyzing the data within the context 

of the limitations mentioned above. It is noted that the responses regarding reporting and 

recordkeeping burdens are variable. Comments are incorporated throughout the supporting 

statement. Sources are listed in the reference section.

In addition, concurrent with the public comment period for this ICR renewal, EPA 

conducted a consultative outreach effort. EPA contacted seven potential respondents to solicit 
--

26

their opinion on the PCB recordkeeping and recording requirements. These individuals were:

Jim Roewer, Executive Director

Utility Solid Waste Activities Group

c/o Edison Electric Institute

701 Pennsylvania Avenue, NW

Washington, DC 20004-2696

Jim.Roewer@USWAG.org

(202) 508-5645

James F. Stine 

National Rural Electric Cooperative Association

4301 Wilson Boulevard

Arlington, VA 22201-1860

james.stine@nreca.coop 

(703) 907-5739

J. Lawrence Robinson, President

Color Pigments Manufacturers Association 

300 North Washington Street, Suite 105

Alexandria, VA 22314 

cpma@cpma.com

(703) 684-4044

Mark Pennell

PCS, INC. 

Ozark, MO 65721

RCSINC@aol.com

(417) 886-4580

Pam Lacey

American Gas Association

400 N. Capital St., NW

Washington, DC 20001

placey@aga.org

(202) 824-7000

John B. Anthony

Senior Vice President

Maxymillian Technologies, Inc.

1801 East Street

Pittsfield, MA 01201

janthony@maxymillian.com

(413) 499-3050
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27

Guy Donzella

EPS Industries

4 Industrial Park Drive

Wheeling, WV 26003

gddonzella@epsonline.com

(304) 232-1590 ext.23

EPA received an oral response from the American Gas Association (AGA) and a written 

response from EPS Industries to its solicitation for consultations. A copy of EPA’s consultation 

e-mail to the above potential respondents appears in Appendix F-1. A summary of AGA’s 

response and a copy of the response from EPS Industries appear in Appendix F-2. The responses 

did not result in any changes to the Supporting Statement.

3(d) Effects of Less Frequent Collection

EPA has judged that the reporting and recordkeeping requirements of the ICR are the 

minimum amount necessary to prevent injury to health and the environment. These requirements 

ensure adequate oversight by EPA over the use of PCBs and PCB equipment and the storage and 

disposal of PCB wastes. If these activities were conducted less frequently, the mismanagement 

and improper storage and disposal of PCBs would likely cause subsequent environmental 

contamination.

There are several examples of one-time PCB information collection requirements. One 

example is the notification and certifications requirements of §761.185, which are supported by

relevant sampling data or by theoretical analysis. Only when processes are modified are 

importers and manufacturers required to re-notify. The notification requirements regarding 

installation of PCB Transformers in emergency situations and for owners who elect not to install 

enhanced electrical protection on lower voltage secondary transformers were one-time 

notifications that were to be completed by October 1, 1990. Another example are the reports on 

total PCB releases of §761.187 that need only be submitted if the PCB levels in the products 

exceed the specified annual average of 25 ppm, or when releases to air and water exceed the 

regulatory thresholds. Also, EPA requires one-time notifications for owners to register their 

newly discovered PCB Transformers (see EPA Form 7720-12, PCB Transformer Registrations at 

Appendix C) and for individuals to notify the Agency of their PCB waste handling activities (see 

EPA Form 7710-53, Notification of PCB Activity at Appendix D); both notifications can be 

accomplished by completing a simple form, although use of the form is optional when 

registering PCB Transformers.

3(e) General Guidelines

Most of the information requested by this ICR is consistent with OMB’s Paperwork 

Reduction Act Guidelines. Exceptions are as follows.
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Under the information collection requirements of §§761.185 and 761.193, manufacturing 

and monitoring records that document PCB levels in products and analyses that support the onetime notification and certification of compliance for the process must be retained for either 3 

years after the certified process ceases operations or 7 years, whichever is shorter. The content 

of the file most likely would not change over the 7-year period, so the burden of keeping the file 

is substantially mitigated by its limited contents. Likewise, entities that monitor for actual PCB 

concentrations in the products they manufacture, use, process, distribute in commerce, or recycle 

must also maintain monitoring data records under §761.193 for either a 3-year period after the 

operation ceases or up to 7 years. The effect of this provision is to impose an equal retention 

period for sampling data on all those who deal with inadvertently generated PCBs in products, 

whether the PCBs result from excluded manufacturing processes or recycling.

To comply with the storage and disposal requirements of Subpart D, disposers and 

commercial storers must retain records for at least 3 years after the facility is no longer used for 

the storage or disposal of PCB wastes, except that chemical waste landfills must maintain 

records for at least 20 years after the facility no longer accepts PCB wastes. The reason for 

requiring records retention for landfills in excess of 3 years is that a leak from a chemical waste 

landfill could take years to develop into a noticeable environmental problem. Landfill records 

are the only mechanism to accurately trace the source of the contamination. Also, certain 

operational records maintained by the owner/operator of incineration facilities and high 

efficiency boilers must be retained for 5 years from the date of collection. This enables facilities 

to demonstrate to enforcement officials that the facility has consistently complied with relevant 

technical requirements and conditions specified in the disposal permit.

The Final Disposal Amendments Rule contains several provisions that require 

recordkeeping for 5 years or more. These provisions include §761.61(a)(9), which requires the 

notifications and remediation site cleanup activity documentation, pursuant §§761.61(a)(3), (4), 

and (5), to be maintained for 5 years. Section 761.61(a)(8)(i)(A) requires a notice be 

permanently affixed to the deed of any property where a remediation project has resulted in the 

installation of a fence or ground cover cap to increase protection from exposure to PCBs. These 

measures were taken to enable adequate oversight of remediation projects by environmental 

officials and to provide adequate notice to potential new owners of property where remediation 

projects were undertaken.

There are a number of provisions in Part 761 that require reporting within 15 or 30 days 

of the occurrence of a specific event. For example, the third-party notification requirements of 

§§761.61(a)(5)(B)(2)(iv) and 761.62(b)(4)(i) and (ii) require generators to provide notice to 

certain off-site facilities at least 15 days prior to shipping certain wastes. These reporting 

requirements are not triggered by the calendar (i.e., they are not required quarterly or at more 

frequent intervals). Therefore, the Agency does not believe that these provisions, or the 

following 30-day reporting requirements, need special justification:

 §761.30(a)(1)(vi)(A)(1) requires owners of PCB transformers to register the 

transformer with EPA within 30 days of discovery.
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 §761.60(j)(1)(ii) requires EPA, state, and local environmental protection agencies 

to be notified of the commencement of pilot-scale PCB R&D disposal activity.

 §761.61(a)(3)(i) requires EPA, state or tribal, and county or local environmental 

protection agencies to be notified of the location of a remediation waste cleanup 

project.

 §761.65(a)(2)(i) requires EPA to be notified of intent to store waste beyond the 1-

year limit 30 days prior to the expiration of the 1-year time frame when disposal 

cannot be accomplished within that period.

 §761.70(b)(8) requires EPA to be notified 30 days prior to transferring ownership 

of an incinerator.

 §761.75(c)(7) requires EPA to be notified 30 days prior to transferring ownership 

of a landfill.

 §761.80(e) requires EPA to be notified 30 days prior to commencing PCB R&D 

disposal activity when using manufactured/imported PCBs obtained under this 

exemption.

 §761.180(c)(5) requires EPA to be notified within 30 days of suspension of 

incineration operations.

 §761.205(f) requires EPA to be notified within 30 days of changes to previous 

PCB Notification.

 §761.207(c)(1)(iv) requires commercial storers/disposal facilities to send copy of 

manifest to generators within 30 days of receipt of waste.

 §761.218(b) requires disposers to send Certificates of Disposal to generator 

within 30 days of disposing of his waste. 

3(f) Confidentiality

Petitioners or permit applicants may claim that all or part of any information given to 

EPA, such as process design information, is confidential business information (CBI). EPA 

handles claims of confidentiality pursuant to established CBI procedures, as found at section 14 

of TSCA, 40 CFR 750.16 and 750.36, and the Agency’s TSCA CBI Manual. CBI is also 

protected under the Freedom of Information Act (5 USC 525). Most of the information 

requested in the reporting or recordkeeping requirements of these collections is not of a 

confidential nature.
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3(g) Sensitive Questions

EPA asks no questions of a sensitive nature.

4. THE RESPONDENTS AND THE INFORMATION REQUESTED

4(a) Respondents/NAICS Codes 

EPA’s PCB regulations could affect entities in all industrial categories, regardless of size, 

that currently possess PCB Items, PCB-contaminated equipment, or other PCB waste. These 

entities include those in both the public and private sectors, and may include not-for-profit 

organizations as well as for-profit entities. Entities that generate PCB wastes comprise the 

following classes: 

 Electric utility industry (NAICS 2211), including municipal and county electric 

systems, and other publicly owned systems, such as irrigation districts. It has been 

estimated that 70 percent of PCBs produced were used in dielectric fluid for 

transformers and capacitors. Thus, such high-voltage equipment represents a 

significant use of PCBs and therefore a major source of PCB waste generation. EPA 

studies of the numbers of such equipment in use assumed that utilities owned 30 

percent of the askarel transformers, 80 percent of the mineral oil transformers, and 90 

percent of the large PCB Capacitors, with the remainder owned by non-utility

industrial enterprises (U.S. EPA, 2004a).

 Non-utility entities with privately-owned electric equipment, such as:

 oil and gas producers (NAICS 211111)

 manufacturers (NAICS 31-33)

 line-haul railroads (NAICS 48211)

 telecommunications (NAICS 513)

 refuse systems (NAICS 562111)

EPA studies have shown that these entities account for more than 90 percent of PCB waste 

generated by the non-utility private sector. Hospitals (NAICS 62211) and colleges/universities 

(NAICS 61131) are also likely to have high-voltage electrical equipment of the type associated 

with PCB use and contamination.

 Entities with PCB ballasts from fluorescent light fixtures, including manufacturing 

and industrial entities, government bodies and school districts that have such 

lighting equipment.

 Entities operating natural gas pipelines.
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31

 Entities engaged in bulk solid waste operations, such as automobile shredders.

 Entities involved in remediating PCB wastes, such as Superfund and other hazardous 

waste sites. 

 PCB disposal facilities that must obtain approval from EPA to operate (e.g., 

incinerators, chemical waste landfills, alternate disposal technologies). This would 

include individuals, businesses, federal agencies, and state/local governments 

engaged in PCB waste management activities. NAICS code 562111, hazardous waste 

material disposal sites, may be applicable.

 Other primary respondents include:

 trucking and warehousing (storage) (NAICS 484)

 sanitary services (incinerators, landfills) (NAICS 5622)

 steam suppliers [high efficiency boilers (HEB)] (NAICS 22133)

 Administrators of Environmental Quality Programs (NAICS 924)

 All chemical manufacturers (and importers of products) who wish to qualify 

excluded processes and continue the legal manufacture (or importation) of trace 

amounts of PCBs; the processing, distribution in commerce, or use of chemical 

products that contain the PCBs generated in excluded manufacturing processes; and 

the processing, distribution in commerce, or use of products containing “recycled 

PCBs” (§761.3) must comply with appropriate notification and recordkeeping 

requirements. These respondents are classified under NAICS codes 3254, 325611, 

325, 3253, which are drugs; soap, cleaners, and toilet goods; industrial organic 

chemicals; and agricultural chemicals, respectively. Other affected industries may

include:

 alkalies and chlorine (NAICS 325181)

 inorganic pigments (NAICS 325131)

 plastic materials and resins (NAICS 325211)

 synthetic rubber (NAICS 325212)

 organic fibers non-cellulosic (NAICS 325222)

 other chemicals and allied products (NAICS 3259981)

 adhesives and sealants (NAICS 32552)

 printing ink (NAICS 32591)

 chemical preparations (NAICS 325998)

 rubber and miscellaneous plastic products (NAICS 326)

 Respondents who petition the Agency for exemption from the prohibitions and 

restrictions on the manufacture, processing, and distribution in commerce of PCBs 

may include general manufacturing industries (NAICS 31 - 33) and Electric 

Equipment Manufacturing (NAICS 335).
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4(b) Information Requested

(i) Data Items

Many of the information collection requirements are triggered only by an individual’s 

need to address a particular PCB scenario, while other requirements apply to the universe of 

individuals who use, process, distribute in commerce, or dispose of PCBs. EPA anticipates that 

no one individual would be subject to all of the requirements listed below. The reporting, thirdparty reporting, and recordkeeping data items contain the reference number used throughout this 

document, the existing ICR number, a description of the requirement, and the regulatory citation, 

and are organized according to the subparts of 40 CFR 761.

(A) Notifications/Reports. Respondents are required to submit information to EPA to 

accomplish the following reporting tasks. (Refer to Tables 2-1, 2-2, and 2-3 for summaries of 

the reporting, third-party reporting, and recordkeeping requirements of this consolidated ICR).

40 CFR 761

Subpart A—General

(#1) Certification Notification for Excluded Manufacturers: The primary reporting 

requirement for manufacturers who inadvertently generate PCBs and importers of products 

containing inadvertently generated PCBs is a certified notification to EPA. The notification (1) 

identifies the manufacturing processes that generate PCBs in products at levels above 2 parts per 

million (ppm); (2) certifies compliance with all PCB release conditions on excluded processes; 

and (3) states whether the certification is based on actual monitoring data or on theoretical 

analysis of the chemical reaction(s) involved in the manufacturing process. Additionally, 

manufacturers and importers must report to EPA data on their processes during periods of 

unusually high generation or releases of PCBs. Reports are required in any calendar year where 

total quantities of PCBs in manufactured products exceed 0.0025% of a manufacturing site’s 

rated capacity, or the total quantity of PCBs imported exceeds 0.0025% of the average for PCBcontaining products that were imported during the 1978-1982 timeframe. Also, reporting is 

required when total PCB releases to air or water exceed 10 pounds during the year at any site, 

and certification must be repeated whenever process conditions are significantly modified 

[§§761.1 (f)(1) - (3); Subpart J; also see the entries for #42 and #43].

Subpart B—Manufacturing, Processing, Distribution in Commerce, and Use of PCBs and 

PCB Items

(#2) Exemption Petitions: Individuals seeking exemptions to manufacture (import), 

process, or distribute in commerce (export) PCBs as per TSCA section 6(e)(3), must submit 

exemption petitions unless otherwise authorized [§761.20(b) and (c)(1) and (3)].

(#3) Transformer Registration: Owners of PCB Transformers are required to register 
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their transformers with EPA. The registration program provides state officials and emergency

response personnel information for providing a significantly higher degree of protection in 

emergency situations. This information is also for use to address requirements of international 

environmental programs to identify sources and reduce or eliminate the reliance on PCBs. 

Information that must be included in the notification consists of the following: transformer 

address (i.e., location); number of PCB Transformers, including total weight in kilograms; and 

the name, address, telephone number, and signature of the owner, operator, or other authorized 

representative certifying the accuracy of the submitted information. The use of a form is 

optional, as is information on whether the unit(s) contains a flammable liquid. A copy of EPA 

Form 7720-12, which can be used for submitting this information [§761.30(a)(1)(vi)], is included 

in this report as Appendix C. Note that §761.30(a)(1)(xv)(D) removes the requirement to 

register PCB Transformers with the fire department, but retains the requirement to register the 

transformers with building owners. (See #54.)

(#4) PCB Equipment Reclassification: Persons wishing to use alternate methods to 

reclassify PCB equipment (i.e., transformers, electromagnets, switches, and voltage regulators) 

must obtain EPA approval to do so [§§761.30(a)(2)(v)(c); .30(h)(2)(v)(c)]. Therefore, EPA 

requires information on the process that is being considered as well as equipment identification 

information.

(#5) Use of Natural Gas Pipelines and Other Gas or Liquid Systems: Owners/operators 

of natural gas pipelines who sell or distribute natural gas are authorized to use natural gas 

pipelines that have been contaminated with PCBs in concentrations ≥50 ppm, if they take certain 

actions to identify sources of contamination and reduce levels to <50 ppm PCBs. 

Owner/operators of these pipelines must submit a written description of the general nature and 

location of PCB contamination in concentrations ≥50 ppm if requested by EPA. This description 

is sent to the EPA Regional Administrator or the Director, National Program Chemicals Division 

(NPCD), at EPA, if the contaminated pipe is located in more than one Region. Owners/operators 

must also make available to EPA, upon request, documentation of their data and actions taken or 

not taken to comply with the conditions of the use authorization. [§761.30(i)(1)(iii)(A)(1); 

.30(i)(1)(iii)(C)].

(#6) EPA Approval for Uses of PCBs in Other Gas or Liquid Systems: The use of ≤50 

ppm PCBs in “other” gas or liquid transmission systems is authorized. Operators with systems 

with PCBs at concentrations of ≥50 ppm must obtain written consent from the Director, National 

Program Chemicals Division, who may then specify conditions necessary to reduce the levels of 

PCBs in the system. It is not apparent that systems not otherwise authorized under the 

regulations exist. Therefore, EPA expects this authorization to be rare and has no basis for 

developing a burden for this notification requirement. Without this authorization, however, use 

of such gas or liquid systems with PCBs ≥50 ppm would be prohibited [§761.30(t)(3)].

(#7) Exceeding Storage Limitations for PCB Articles Stored for Reuse: EPA has limited 

the storage for reuse of PCB Articles in areas not meeting the TSCA approved storage standards 

in §761.65 to a period of 5 years. However, RAs may grant extensions beyond 5 years with 
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34

conditions if a request explaining the rationale for the extension is submitted 6 months prior to 

the expiration date [§761.35(b)]. Regulated entities obtained approvals for 5-year storage 

periods during 2008, which makes these approvals valid through 2013. The next approval period 

will occur during this ICR period.

Subpart D—Storage and Disposal

(#8) Permit Applications and Demonstration Plans for Disposal Facilities: The 

application must contain the following types of information, if applicable: (1) name, address, and 

phone number of the unit’s principal manager; (2) location of the facility where the unit will be 

tested and the location where the unit will be stored and serviced when not engaged in testing; 

(3) detailed description of the unit including general plans and design drawings; (4) engineering 

report or other information on the anticipated performance of the unit; (5) sampling and quality

assurance plan; (6) waste volumes expected to be handled, process design capacity, process 

control, reagent-to-waste feed ratios, and safety features; (7) local, state, or federal permits or 

approvals; (8) schedules and plans for complying with the approval requirements; (9) 

contingency plan that describes steps taken in case of process failure, spill, or overflow; and (10) 

environmental impact, including process emissions, toxicity and disposal of process products, 

site relationships, and steps taken to protect the health of the operator.

Following receipt of the application, EPA may require additions or modifications to the 

application, disapprove the application, or determine that a process demonstration is required and 

will notify the person who submitted the application. The following information is requested of 

persons who are asked to demonstrate their process for the Agency: (1) time, date, and location 

of the process demonstrations; (2) quantity and type of PCBs and PCB Items to be processed; (3) 

parameters to be monitored and location of sampling points; (4) sampling plan and quality

assurance plan, including sampling frequency, methods, and schedules for sampling analysis; 

and (5) names, addresses, and qualifications of persons who review the analytical results and 

other pertinent data and who will perform a technical evaluation of the effectiveness of the 

process demonstration. Following receipt of the process demonstration plan, EPA will either 

approve the plan, require additions or modifications to the plan, such as additional testing or 

analysis to help the reviewing officials determine the safety and efficiency of the process, or 

disapprove the plan. 

Any person who is required to incinerate any PCBs and PCB Items and who can 

demonstrate that an alternative method of destroying PCBs and PCB Items can achieve a level of 

performance equivalent to an approved incinerator or high efficiency boiler, as per §§761.70 or 

.71, respectively, must submit a written request to EPA for a waiver from the incinerator or high 

efficiency boiler (HEB) requirements [§§761.60(e), (i)(2); .70(a),(b),(d); .75(b)(7), (b)(8)(ii), and 

(c)].

(#9 - 11) Notification about PCB Research and Development Activities (R&D): 

Individuals engaged in R&D for disposal under §761.60(j) must notify the EPA Regional 

Administrator, and state and local environmental officials 30 days before conducting the R&D 
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35

for disposal activity [§761.60(j)(1)]. The notification must provide the EPA identification 

number for the location of the R&D activity [§761.60(j)(1)(i)], quantity of PCBs to be processed, 

type of R&D, physical and chemical properties of the material being treated, and an estimate of 

the duration of the R&D activities [§761.60(j)(1)(ii)]. [NOTE: After reviewing the submitted 

information, EPA may determine, based on potential unreasonable risks to health or the 

environment, to impose additional conditions on the R&D project in the form of an Approval.] 

[§§761.60(j)(1) and (2)].

Additionally, requests to exceed the specified limits for the quantities of PCBs used, the 

maximum concentration of PCBs, the total amount of pure PCBs, or the duration of the R&D 

activities must be submitted to the EPA Regional Administrator. Each request shall specify the 

quantity or concentration requested or additional time needed and include a justification for each 

increase. For extensions to the duration of the R&D for PCB disposal activity, the request shall 

also include a report on the accomplishments and progress of the previously authorized R&D 

activity for which the extension is sought [§761.60(j)(2)].

This notification identifies those individuals who do research on/with PCBs, their 

locations, and the type of activities they perform. By establishing a small quantity exemption for 

R&D, EPA is reducing the burden previously associated with the existing requirement that 

individuals who engage in R&D into PCB disposal technologies obtain a TSCA R&D Approval. 

EPA does not require this information to be submitted on a specific form or in a specific format. 

By requiring individuals to write a letter to the Regional Administrator, EPA is providing 

maximum flexibility to the respondent to minimize the burden associated with this notification 

provision.

(#12 - 15) Self-implementing Remediation: Owners of remediation sites are required to 

notify, in writing, the EPA Regional Administrator and the appropriate state (or tribal), county 

(or local) environmental agencies at least 30 days prior to conducting remediation activities. The 

notification must include the following information: the nature of the contamination; a summary

of the procedures used to sample contaminated and adjacent areas; a table or cleanup site map; 

the location and extent of PCB contaminated areas, including topographic maps; and a cleanup 

plan for the site [§761.61(a)(3)(i)]. Once the remediation project has been initiated, any 

proposed deviation from the notification previously submitted must be reported to EPA no less 

than 14 days prior to the proposed implementation of the change [§761.61(a)(3)(ii)]. Any person 

conducting a cleanup activity may obtain a waiver of the 30-day notification requirement, if they

receive a separate waiver, in writing, from each of the agencies they are required to notify under 

this section [§761.61(a)(3)(iii)]. Additionally, under the self-implementing provision, persons 

must submit a written certification to the EPA Regional Administrator that the sampling plans, 

sample collection and preparation procedures, extraction procedures, and instrumental/ chemical 

analysis procedures used to assess or characterize the cleanup site are on file at the location 

designated in the certificate and are available for EPA inspection. Persons using alternate 

methods for chemical extraction and chemical analysis for site characterization must include in 

the certificate a statement that indicates that such a method will be used and that a comparison 

study that meets or exceeds the requirements of §761.269(c) of Subpart Q, for which records are 
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36

on file, has been completed prior to verification sampling [§§761.61(a)(3)(i)(E) and 761.274]. 

Additionally, persons conducting remediation waste projects that require the use of a fence or 

cap, must record a notation on the deed to notify potential purchasers of the property (i.e., a 

third-party notification) and submit to EPA a certification that the property deed has a notation to 

that effect [§761.61(a)(8)(i)].

(#16) Risk-based Remediation: Any person wishing to clean up, store, or dispose of PCB 

remediation waste in a manner other than prescribed in the self-implementing or performancebased disposal options must apply in writing to the EPA Regional Administrator. Each application 

must contain information as described in §761.61(a)(3) (e.g., nature and extent of the 

contamination, sample procedure, cleanup plan, and certification that records have been 

maintained). The EPA may request the submission of other information it believes necessary to 

evaluate the application [§761.61(c)(1)].

(#17) Risk-based Cleanup Approval for PCB Bulk Product Waste: Any person wishing 

to sample or dispose of or store PCB bulk product waste in a manner other than prescribed in 

paragraphs (a) or (b), or store the waste other than prescribed by §761.65, must apply in writing 

to the EPA Regional Administrator or Director, NPCD. Each application must contain 

information indicating that the proposed storage and disposal methods or locations will not pose 

an unreasonable risk of injury to health or the environment. EPA may request the submission of 

other information it believes necessary to evaluate the application [§761.62(c)(1)].

(#18 - 20) Exceeding Storage Limitations for PCB Wastes: A mechanism has been 

established for automatically extending the 1-year storage for disposal deadline for another year 

based on an adequate justification. Any person storing PCB waste that is subject to the 1-year 

time limit for storage and disposal may provide written notification to the EPA Regional 

Administrator that their continuing attempts to dispose of or secure disposal for their waste 

within the 1-year time limit have been unsuccessful. For the automatic extension of the 1-year 

time frame, EPA must receive the notification at least 30 days before the initial 1-year time limit 

expires and the notice must identify the storer; the types, volumes, and locations of the waste, 

and the reasons for failure to meet the initial 1-year time limit [§761.65(a)(2)].

For subsequent extensions of the time frame for storing PCB wastes, the requestor must 

submit specific justifications and indicate measures he or she is taking to secure disposal or 

reasons why disposal could not occur during the prior extension. EPA may require specific 

actions as conditions to granting the extension, including marking, inspection, recordkeeping, or 

financial assurance to ensure that the waste does not pose an unreasonable risk of injury to health 

or the environment [§761.65(a)(3)] or the submission of periodic progress reports 

[§761.65(a)(4)].

(#21) Storage Containers for PCB/Radioactive Waste: Containers prescribed by the 

American National Standard Institute (ANSI) for nuclear criticality safety may be used for 

PCB/radioactive waste. However, other containers may be used if the users are able to 

demonstrate to EPA and other appropriate regulatory authorities [i.e., the Nuclear Regulatory
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37

Commission, the Department of Energy (DOE), or the Department of Transportation (DOT)] that 

such containers are protective of public health and safety and the environment 

[§761.65(c)(6)(i)(C)].

(#22) Preparing Application for Commercial Disposal Approval: Applicants for 

commercial storage approval shall submit a written application that includes any relevant 

information bearing upon the qualifications of the facility. The application shall identify the 

facility owner/operator and include information on the technical qualifications of the person in 

charge of operations, any past violations, and waste handling experience of the company and 

employees, estimates of maximum waste quantity that can be handled, the certification of 

compliance, the financial assurance instrument, a closure plan and closure cost estimate, and a 

demonstration of financial responsibility for closure. The applicant must also revise and update 

the closure plan when certain changes occur at the facility, and, within 30 days after the facility

closes, submit certification that the facility has been closed in accordance with the approved plan 

[§§761.65(d), (e)(1), (6), and (8); and (f)].

(#23) Request to Amend the Storage Closure Plan: Owners/operators of storage facilities 

must submit requests to the EPA Regional Administrator to amend the closure plan, when there 

are changes in ownership, changes in expected date of closure, and/or unexpected events 

[§761.65(e)(4)].

(#24) Modifications to Commercial Storage Facilities: To ensure that the owner/operator 

of these facilities have made adjustments to their financial assurance mechanisms when 

modifications will increase the storage capacity of the facility, EPA is requiring that these 

individuals notify the federal or state issuing authority in writing that they have revised the 

financial assurance mechanism and activated it within 30 days of the completion of the 

modification [§761.65(g)(9)]. EPA does not require the information to be submitted on a 

specific form or in a specific format.

(#25) Change of Ownership for Storage Facilities: EPA will approve of the transfer of 

ownership or operational control of a commercial storage facility if the transferee has established 

financial assurance for the closure and the transferor or transferee has resolved any deficiencies 

(e.g., with technical operations, closure plans, cost estimates, etc.) that the Agency has identified 

in the transferor’s new or amended application [§761.65(j)].

(#26) Approval of Alternate Measures for Operating Incinerators: Owners/operators of 

incinerators that burn PCBs must submit a contingency plan of alternate measures for operating 

the facility when regulatory requirements cannot be met. The plan must indicate what alternative 

measures the owner/operator would take if there is a failure of regulatory monitoring 

requirements or PCB rate and quantity measuring and recording equipment, or if excess oxygen 

falls below the percentages specified in paragraph (a)(1) of this section [§§761.70(a)(8) and (9); 

and (d)(5)].

(#27) Notification of Changes in Disposal Facility Ownership: Owners/operators of 
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38

incinerators and chemical waste landfills that dispose of PCBs must notify EPA at least 30 days 

before transferring ownership of the facility. The notice must include a notarized affidavit 

signed by the transferee, which states that the transferee will abide by the transferor’s EPA 

incinerator approval [§§761.70(d)(8); .75(c)(7)].

(#28) High Efficiency Boiler Approval: Thirty days before any person burns mineral oil 

dielectric fluid in high efficiency boilers, the person must give a one-time written notice to the 

EPA Regional Administrator, including information on the owner and location of the boiler, 

boiler specifications, and associated equipment. To burn liquids other than mineral oil dielectric 

fluids, at a PCB concentration of 50 to 500 ppm, boiler owners must first obtain an approval of 

the Regional Administrator for the EPA Region in which the boiler is located. The request to the 

Regional Administrator must include at least the following: name and address of owner/operator 

of boiler and address of boiler, boiler rating in units of BTU/hour, carbon monoxide 

concentration and oxygen percentage in the stack when boiler is operated, type of equipment and 

procedures used to control feed and monitor emissions, type of waste to be burned, concentration 

of PCBs and other chlorinated hydrocarbons in the waste, estimate of the amount of waste to be 

burned in a 30-day period, and an explanation of the procedures to be followed to ensure that the 

burning of the waste will not adversely affect the operation of the boiler such that combustion 

efficiency will decrease [§§761.71(a)(2) and (b)(2)].

(#29 - 30) Disposal by Scrap Metal Recovery Ovens and Smelters: Owners of scrap 

metal recovery ovens disposing of drained PCB-contaminated electrical equipment, natural gas 

pipelines and non-porous surfaces must notify EPA as disposers of PCBs and are required to 

comply with existing, applicable disposal facility reporting requirements in Subparts J and K 

[§§761.72(c)(2)]. In lieu of meeting the operating requirements, an owner or operator of a scrap 

metal recovery oven or smelter can submit a written request to the EPA Regional Administrator

for a determination that the industrial furnace poses no unreasonable risk, based on a site-specific 

risk assessment [§761.72(c)(3)].

(#31 - 32) TSCA Coordinated Approval: Persons seeking a TSCA PCB coordinated 

approval may submit a request for approval to the EPA Regional Administrator at the same time 

they seek a permit approval or other action for a PCB waste management activity under any 

other federal or state authority. The request for coordinated approval shall include a copy of the 

confirmation of the EPA identification number, information regarding a point of contact at the 

other permitting authority, description of the waste activities to be conducted (or a copy of the 

waste management document, if one has been issued), and a certification that the requestor will 

adhere to the TSCA PCB reporting and recordkeeping requirements [§761.77(a)(1)]. The 

Regional Administrator may request additional information to remedy a deficiency in the waste 

management activities [§761.77(a)(1)(ii)(A)(1)]. If the Regional Administrator determines that 

conditions of the coordinated approval are not being met, the Regional Administrator may

require the person to whom the coordinated approval was issued to submit an application for a 

TSCA PCB approval [§761.77(a)(2)]. Any person with a coordinated approval must notify the 

Regional Administrator in writing within 5 calendar days of changes relating to PCB waste 

requirements in the non-TSCA waste management documents that serve as the basis for the 
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39

coordinated approval [§761.77(a)(3)].

(#33) Approvals for Alternative Decontamination and Sampling Methods: Any person 

wishing to decontaminate material described in a manner other than prescribed in §761.79(b) or 

(c), or sample material other than prescribed in §761.79(f) must apply in writing to the EPA

Regional Administrator. Each decontamination application must describe the material to be 

decontaminated and the proposed decontamination method, and must demonstrate that the 

proposed method is capable of decontaminating the material to the applicable level set out in 

§761.79(b)(1) through (4). Each application must describe in writing the material to be 

decontaminated and the proposed self-implementing decontamination method, and must include 

a proposed validation study to confirm performance of the method. Each sampling application 

must contain a description of the material to be decontaminated, the nature and PCB 

concentration of the contaminating material (if known), the decontamination method, the 

proposed sampling procedure, and a justification for how the proposed sampling is equivalent to 

or more comprehensive than the sampling procedure required under §761.79(f) of this section. 

EPA may request additional information it believes to be necessary to evaluate the application 

[§761.79(h)(1) to (4)].

Subpart E—Exemptions

(#34 - 37) Class Exemptions, Manufacture, Processing, Distribution of PCBs for R&D: 

Individuals seeking exemptions from the PCB prohibitions are required by statute [15 USC 2601, 

section 6(e)(3)(B)] to submit exemption petitions to EPA. The information provided to EPA in 

an exemption petition includes: name, address and telephone number of the petitioner; 

description of the exemption being requested for the manufacture/processing/distribution in 

commerce activity; location; length of time desired (1-year maximum); amount of PCBs to be 

manufactured processed and/or distributed in commerce, rationale regarding no unreasonable 

risk and substitutes criteria of section 6(e)(3)(B)(i) and (ii), and the economic consequences of an 

EPA denial. Provisions regarding class exemptions for manufacturers of PCBs and 

processors/distributors of PCBs or analytical reference samples derived from PCB waste material 

require a petition be submitted 60 days prior to engaging in the activity [§761.80(e)(1) and 

(i)(1)]. Section 761.80(e)(2) and (i)(2) and .80(n) require individuals seeking renewals of class 

exemptions to submit requests for renewal as per §§750.11 and .31. If persons need to exceed 

the annual quantity limits, they must request approval from EPA [§§761.80(e)(3), (g)(2), and 

(i)(4)]. The owner or operator of the facility also must notify the EPA Regional Administrator in 

writing 30 days prior to beginning R&D activities that require the manufacturing or import of 

PCBs, unless the owner has obtained a PCB R&D approval from EPA, pursuant to §761.60(a) or 

(i)(2), or .70(b), that allows the manufacture of PCBs [§761.80(e)(4)].

(#38) Manufacturing, Processing, and Distribution in Commerce, Exemptions: When a 

facility holding a certain type of exemption plans to increase the amount of PCBs to be processed 

and distributed, imported (manufactured), or exported, or to change the manner or processing 

and distribution, import (manufacture), or export of PCBs, the owner/operator of the facility

must submit a new exemption petition to EPA, which will be addressed through an exemption 
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40

rulemaking. The petitioners must provide the following information to extend manufacturing 

exemptions, as per §§750.11: (1) the identity, telephone number, and address of the petitioner; 

(2) description of the PCB exemption being requested, including items to be manufactured, and 

the nature of the manufacturing process; (3) location(s) of manufacturing sites requiring 

exemption; (4) length of time requested for exemption; (5) amount of PCBs to be manufactured 

or used during the requested exemption period and the manner of release of PCBs to the 

environment associated with such manufacture or use; (6) basis for meeting section 6(e)(3)(B)(i) 

criteria for “unreasonable risk;” (7) basis for meeting section 6(e)(3)(B)(ii) criteria for “PCB 

substitutes;” and (8) quantification of the economic consequences of EPA denying the petition 

and an explanation of the manner of computation.

Persons interested in obtaining processing or distribution in commerce exemptions must 

provide information listed above as items (1), (4), (6), (7), and (8). In addition, as per §750.31, 

they must provide: a description of the PCB processing or distribution in commerce exemption 

being requested, including a description of the chemical substances, mixtures, or items to be 

processed or distributed in commerce, and if processing is involved, the nature of the processing; 

location(s) of processing sites requiring exemption; the estimated amount of PCBs to be 

processed or distributed in commerce or used during the requested exemption period; and the 

manner of release of PCBs to the environment associated with such processing, or distribution in 

commerce. EPA also requires specific information on the description, number, and/or location 

of PCB equipment to be serviced and the description of the uses of/exposures to PCBcontaminated substances or mixtures that are to be used for petitions filed under paragraphs 

§750.31(a)(1)-(9) [§761.80(n)].

Subpart F—Transboundary Shipments of PCBs for Disposal

(#39) Import and Export for Disposal: By Statute, no person may import or export PCBs 

or PCB Items for disposal without an exemption issued under the authority of TSCA section 

6(e)(3) [§§761.93(a) and .97(a)].

Subpart G—PCB Spill Cleanup Policy

(#40) Reporting of PCB Spills: Parties responsible for the following types of PCB spills 

must notify EPA to obtain cleanup guidance: spills that directly contaminate surface waters, 

sewers, or drinking water supplies; spills that directly contaminate grazing lands or vegetable 

gardens; spills that exceed 10 pounds of PCBs by weight [§§761.125(a)(1)(i) to (iii)].

Subpart J—General Records and Reports

(#41) Annual Reports for Waste Disposed of by the Waste Generator: Owners/operators 

of PCB disposal facilities, including owners/operators who dispose of PCB waste generated at 

his/her own facilities, and owners of commercial storage facilities, shall submit annual reports to 

the EPA Regional Administrator. The reports shall summarize the records and annual document 

logs required to be maintained and prepared under §761.180(b)(1) and (b)(2) of this section. 
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Within 30 days of suspending the operation of any incinerator, the owner/operator of the facility 

must submit a document to EPA that includes the date and time of the suspension and an 

explanation of the circumstances causing the suspension of operations [§§761.180(b), (b)(3), and 

(c)(5)].

(#41a) Records of Reclassified PCB Equipment: Owners of reclassified PCB electrical 

equipment must promptly provide records pertaining to the reclassification of PCB equipment, if 

requested by EPA. Also see #68a and #75 [§761.180(g)].

(#42) Notification/Certification of Product Contamination by Inadvertent PCBs: 

Manufacturers with processes inadvertently generating PCBs and importers of products 

containing inadvertently generated PCBs must report to EPA within 90 days any excluded 

manufacturing process or imports for which the concentration of PCBs in products leaving the 

manufacturing site or imported is > 2 ug/g (roughly 2ppm) for any resolvable gas 

chromatographic peak. Manufacturers who must submit the report must transmit a letter 

notifying EPA of the number, type, and location of the excluded manufacturing process. Persons 

must also certify compliance with the requirements of §761.1(f), specify whether the compliance 

is determined by actual monitoring or theoretical assessments; and maintain determinations of 

compliance. Facilities with compliance based on theoretical assessment must also notify EPA of 

the estimated PCB concentration levels generated and released [§761.185].

(#43) Notification When PCB Releases Exceed Limits: Owners/operators of excluded 

manufacturing processes must report to EPA the total quantity of inadvertently generated PCBs 

released into the air and or water from these processes when the total quantity of each type of 

release in any calendar year exceeds 10 pounds [§761.187].

Subpart K—PCB Waste Disposal Records and Reports

(#44) Notify EPA of PCB Waste Activity: All generators with on-site storage, 

commercial storers, transporters, and disposers of PCBs shall notify EPA of their PCB waste 

activity by filing EPA Form 7710-53 (see Appendix D) prior to engaging in PCB waste-handling 

activities. The form includes individuals engaged in R&D and treatability studies and owners of 

scrap metal recovery ovens/smelters and HEBs. This one-time notification form asks for a 

statement of the type of activity taking place at the facility, the location of the facility, name and 

address of the owner, and the facility point-of-contact. EPA issues an identification number or 

verifies an existing RCRA identification number [§§761.202(a); 205(a) to (c)].

(#45) Changes in Waste Handling Activities: Individuals who make changes in their 

waste-handling activities (e.g., relocating or assuming additional activities) are required to 

submit an amended notification form 30 days after the change in activity occurs. The 

information is collected using a one-page form (EPA Form 7710-53) that has previously been 

approved by OMB (OMB Control No. 2070-0112) and requires minimal effort to complete 

[§761.205(f)].
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(#46) Exception Reports: When a generator uses an independent transporter, he or she 

must confirm by telephone or other convenient means that the commercial storer or disposer 

actually received the manifested waste. If the disposal facility did not receive the waste, the 

generator shall contact the transporter to determine the disposition of the waste. If the generator 

has not received a manifest from the disposal facility, the generator shall submit an exception 

report to the EPA Regional Administrator. A disposer shall submit a One-Year Exception 

Report to EPA within 45 days from the end of the one-year storage for disposal date when the 

facility receives the PCBs on a date more than nine months from the date when the PCBs were 

removed from service for disposal or when the facility can no longer dispose of the PCBs within 

the one-year date due to contractual commitments or other factors affecting the facility’s disposal 

capacity. Generators or commercial storers shall submit One-Year Exception Reports when they

transferred PCB wastes within 9 months from the date of removal from service for disposal, 

when the facility has not received a Certificate of Disposal within 13 months from the date the 

waste was removed from service, or has received a Certificate of Disposal more that 1 year after 

the date the waste was removed from service [§§761.208(a)(4); .215(b) to (d)].

(#47) Discrepancy Reporting: Upon discovering a significant discrepancy, the 

owner/operator of the designated commercial storage or disposal facility shall attempt to 

reconcile the discrepancy with the waste generator or transporter. If the discrepancy is not 

resolved within 15 days after receiving the PCB waste, the owner or operator shall immediately

submit to the EPA Regional Administrator a letter describing the discrepancy and attempts to 

reconcile it, and a copy of the manifest or shipping paper at issue [§761.210(b)].

(#48 - 49) Unmanifested Waste Reports: Disposers must submit unmanifested waste 

reports to EPA when they accept a shipment of PCB waste without an accompanying manifest. 

If an owner or operator of a commercial storage or disposal facility cannot contact the generator 

of the PCB waste, he or she shall notify the EPA Regional Administrator so that the Regional 

Administrator can determine whether further actions are required before the owner or operator 

may store or dispose of the unmanifested PCB waste [§761.211(b)]. Within 15 days after 

receiving the unmanifested PCB waste, the owner/operator shall prepare a report to the Regional 

Administrator of the Region where the storage or disposal facility is located and the Region in 

which the PCB waste originated. The report shall include the EPA facility identification 

numbers, facility information, date the waste was received, description of the waste, explanation 

why the waste was unmanifested, if the waste was stored or disposed, if the generator was 

identified, if a manifest was subsequently supplied, and if and when the waste was sent back to 

the generator [§761.211(c)].

Subpart T—Comparison Study for Validating a New Performance-Based Decontamination 

Solvent Under §761.79(d)(4)

(#50) Results of Analysis and Decontamination Validation Studies: Persons using the 

self-implementing criteria for validating the conditions for the performance-based 

decontamination of solvents must submit validation study results to EPA [§§761.395 and .398].
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43

(B) Third-Party Reports. Respondents are required to submit information to entities 

other than EPA headquarters or the EPA Regional Administrator, such as to state, tribal, county 

or local officials, waste generators, transporters, storers, and disposers, or the public.

40 CFR 761

Subpart B—Manufacturing, Processing, Distribution in Commerce, and Use of PCBs and 

PCB Items

(#51) Certification for Burners of Used Oil: Before the first shipment of used fuel oil 

containing detectable PCBs, the burner of the oil must provide a one-time written certification to 

the marketer of the oil that the incinerator is in compliance with the notification requirements of 

§761.71(a)(2) or 40 CFR 279, Subpart G. This regulation also applies to marketing or burning 

for energy recovery liquids containing PCBs at concentrations <50 ppm at the time of removal 

from a natural gas pipeline system [§§761.20(e)(3)(ii); .30(i)(5)(ii); and .60(b)(5)(iv)(B)].

(#52) Transformer and Voltage Regulator Fire Emergency Notification: Owners of PCB 

Transformers and PCB Voltage Regulators (containing ≥500 ppm PCBs) must report any firerelated incidents involving this equipment and the release of PCBs to the National Response 

Center. Information must be provided regarding the type of PCB Transformer installation 

involved in the incident (e.g., high or low secondary voltage network transformer, high or low 

secondary voltage radial system, expanded radial system, primary selective system, primary loop 

system, or secondary selective system) and the readily ascertainable cause of the fire (e.g., high 

current fault in the primary or secondary or low current fault in secondary). The National 

Response Center notifies the appropriate Regional Administrator [§§761.30(a)(1)(xi) and 

(xv)(A); (h)(1)(ii)(B)].

(#53) Notification to Owners of PCB Transformers: Users of a PCB Transformer in use 

or stored for reuse that may pose an exposure risk to food or feed must notify the owner of the 

Transformer [§761.30(a)(1)(xiv)].

(#54) Registering Newly Discovered PCB Transformers: In the event that a mineral oil 

transformer assumed to contain <500 ppm PCBs is tested and found to be contaminated at ≥500 

ppm, the owner of the PCB Transformer must register the equipment with the building owner 

(and EPA; see #3) within 30 days of discovery [§§761.30(a)(1)(xv)(D)].

Subpart D—Storage and Disposal

(#55) Documentation About and Disposal Approval for PCB-Contaminated Liquids: 

Prior to any chemical waste landfill disposing of PCB-Contaminated liquids from incidental 

sources associated with non-liquid PCB waste, the landfill owner/operator must be provided with 

documentation that shows that the waste does not exceed 500 ppm PCBs, that it is not an 

ignitable waste as described in §761.75(b)(8)(iii), and that disposal does not violate 40 CFR 

§268.32(a)(2) and §268.42(a)(1), which list specific hazardous wastes prohibited from land 

disposal, including liquid hazardous wastes containing PCBs >50 ppm [§761.60(a)(3)(ii)].
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(#56) Inclusion of Abandoned Natural Gas Pipes in Public Service Notification 

Programs: One disposal option for natural gas pipeline systems containing PCBs at any

concentration but no free-flowing liquids, and having a nominal inside diameter of ≤4 inches, is 

to seal each end closed, abandon the pipes in the place where they were used to transport natural 

gas, and include them in a public service notification program, such as a one-call system under 

49 CFR 192.614(a) and (b). One-call systems are programs run by utility companies to inform 

landowners that they should contact the utility companies before beginning any excavation work 

on their property to avoid disturbing underground utility pipes [§761.60(b)(5)(i)(A)(1)].

(#57) Notification About Approved PCB Disposal Facilities: Each operator of a 

chemical waste landfill, incinerator, or approved alternative disposal technology meeting the 

incineration standard must notify state and local officials at least 30 days prior to the first use of 

the facility [§761.60(f)(1)(i)].

(#58) Annual Notification about PCBs Disposed of: If requested by state and local 

officials, each operator of a chemical waste landfill, incinerator, or approved alternative to 

incineration must provide annual information about the quantities and types of PCBs disposed of 

[§761.60(f)(1)(ii)].

(#59) Notification to State and Local Officials of PCB Activities: Any person may

conduct R&D for PCB disposal without prior written approval from EPA, if they meet certain 

conditions, one of which is to notify state and local environmental agencies at least 30 days prior 

to beginning the activities. Each written notification must contain the EPA identification number 

for the site, the quantity of PCBs to be treated, the type of R&D technology to be used, the 

physical and chemical properties of the materials being treated, and an estimation of the duration 

of the activities [§761.60(j)(i)(ii)].

(#60) Manifest R&D PCB Wastes: Research facilities must use manifests, pursuant to 

Subpart K, for all R&D PCB wastes being transported from the R&D facility to an approved 

PCB storage or disposal facility for disposal. Manifests are not needed if the residuals are 

returned to the site of generation [§761.60(j)(1)(vii)].

(#61) Self-implementing Remediation: Owners of remediation sites are required to 

notify, in writing, the appropriate state (or tribal), county (or local) environmental agencies at 

least 30 days prior to conducting remediation activities. The notification must include the 

following information: the nature of the contamination, a summary of the procedures used to 

sample contaminated and adjacent areas, a table or cleanup site map, the location and extent of 

PCB contaminated areas, including topographic maps, and a cleanup plan for the site 

[§761.61(a)(3)(i)].

(#62) Notification of Pending PCB Shipments: Generators of bulk PCB remediation 

waste must provide written notice to each off-site facility where the waste is destined that is not 

subject to a TSCA PCB disposal approval about the quantity and the highest concentration of 
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45

PCBs shipped, at least 15 days before the first shipment of the waste from each cleanup site 

[§761.61(a)(5)(i)(B)(2)(iv)].

(#63) Deed Restrictions on Property Where Remediation Projects Have Been 

Conducted: Within 60 days of completion of a cleanup activity and in accordance with state law, 

site owners must record a notation on the deed to the property, or on some other instrument that 

is normally examined during the title search, that will in perpetuity notify any potential purchaser 

of the property that the land has been used for disposal of PCB remediation waste, the site is 

restricted for use, and the fence or cap must be maintained, as well as the applicable cleanup 

levels left at the site. This notice becomes a permanent attachment to the deed 

[§761.61(a)(8)(i)(A)].

(#64) Disposal of PCB Bulk Product Waste: Any person disposing off site of PCB bulk 

product waste under paragraph (b)(1) at a waste management facility not having a commercial 

PCB storage or disposal approval, must provide written notification to the receiving facility a 

minimum of 15 days in advance of the first shipment from the same disposal waste stream. The 

notice shall state that the waste may include components containing PCBs at ≥50 ppm and that 

the waste is known or presumed to leach < 10 ug/L PCBs. The objective of the notification is to 

alert the waste facilities and prevent the generator from sending a waste to a facility that may be 

restricted from receiving PCBs, based on a state-issued permit [§§761.62(b)(4)(i) and 761.357]. 

Any person disposing off site of PCB bulk product waste under paragraph (b)(2) at the same type 

of facility must comply with the same notification requirements, except that the notice shall state 

that the waste is known or presumed to leach ≥10 ug/L PCBs [§§761.62(b)(4)(i) and (ii); 

761.357 and .359].

(#65) Notations on PCB Items and Containers: To store PCB Items, either for disposal or 

temporarily in areas that do not comply with §761.65(b) for up to 30 days from the date of an 

Item’s removal from service, owners of the Items must place on the Item the date it is removed 

from service. Items that can be temporarily stored include non-leaking PCB Articles and PCB 

Equipment; leaking PCB Articles and Equipment if the PCB Items are placed in a non-leaking 

PCB Container; PCB Containers containing non-liquid PCBs; or PCB Containers containing 

liquid PCBs at concentrations ≥50 ppm in areas with SPCC plans [§§761.65(c)(1) and (8)].

(#66) Notification of Shipping Laboratory Samples: To qualify for the exemption from 

manifesting laboratory sampling wastes, as per §761.65(i)(2)(i) and (ii), the sample collector 

shipping the samples to a laboratory and a laboratory returning samples to a sample collector 

must comply with applicable DOT requirements found at 49 CFR 173.345 and U.S. Postal 

Service regulations, 652.2 and 652.3. Information on the sample collector, the laboratory, and 

date of shipment must accompany a PCB sample when it is shipped to the testing laboratory or 

back to the sample collector [§761.65(i)(3)].

Subpart G—PCB Spill Cleanup Policy

(#67) Requirements for the Spill Cleanup Policy: Spills involving 1 pound or more by 
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46

weight of PCBs must be reported to the National Response Center [§761.125(a)(1)].

(#68) Notification of PCB Contamination at a Cleanup Site: Parties responsible for 

cleaning up PCB spills as per the Spill Cleanup Policy can cleanup the site to 50 ppm PCBs by

weight (as opposed to 25 ppm) provided that a label or notice is visibly placed in the area 

[§761.125(c)(2)(ii)].

(#68a) Records Pertaining to Reclassification of PCB Equipment: Owners of reclassified 

PCB electrical equipment must promptly provide records of reclassified PCB equipment to any

party holding or possessing the equipment (for example, through sale, loan, lease, or for 

servicing). Also see #41a and #75 [§761.180(g)].

Subpart K—PCB Waste Disposal Records and Reports

(#69) Manifests for PCB Wastes: Generators who relinquish control over PCB wastes by 

transporting, or offering for transport, PCB waste for commercial off-site storage or disposal 

shall prepare a manifest (EPA Form 8700-22), which specifies the identity of the waste, the 

earliest date of removal from service for disposal, the weight in kilograms of the waste, the 

unique identifying number of a PCB Article Container or PCB Container, the serial number or 

other identification of PCB Articles not in containers [§761.207(a)]. For bulk shipments within 

the United States transported solely by water, waste generators are required to provide three 

copies of the dated and signed manifests to the owner or operator of the designated commercial 

storage or disposal facility [§761.208(a)(2)]. For rail shipments of PCB wastes that originate at 

the site of generation, the generator shall send at least three copies of the manifest to the next 

non-rail shipper, if any, and the designated commercial storage or disposal facility, if transported 

solely by rail [§761.208(a)(3)].

(#70) Send Manifest to Generator: When a commercial storage or disposal facility

receives an offsite shipment of PCB waste accompanied by a manifest, the owner/operator of the 

facility must send a copy of the manifest to the generator within 30 days after the delivery. 

When a commercial storage or disposal facility receives a PCB waste from a rail or water (bulk 

shipment) transporter accompanied by a shipping paper containing all the information required 

on the manifest except the EPA identification number, generator’s certification, and signatures, 

the owner/operator of the facility shall send a copy of the manifest or shipping paper to the 

generator [§761.208 (c)(1)(iv) and (c)(2)(iv)].

(#71) Certificates of Disposal to Waste Generators: Owners or operators of disposal 

facilities must send Certificates of Disposal to generators of PCB wastes identified on the 

manifests that accompany each shipment. The Certificates must be sent within 30 days of the 

date that the disposal of each item of PCB waste identified on the manifest was completed, 

unless the generator and the disposer agree to another time frame. The Certificate of Disposal 

shall identify the disposal facility and waste affected by the certificate and include a statement 

certifying the date of disposal and disposal process for the identified PCB waste [§761.218(a) 

and (b)].
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47

(C) Records. Respondents are required to maintain records as follows:

40 CFR 761

Subpart A—General

(#72) Recordkeeping of Excluded Manufacturing Processes and Certification: Chemical 

manufacturers and importers of products that contain inadvertently generated PCBs (i.e., 

excluded manufacturing processes) must maintain the monitoring data (or other analyses) that 

were used to support the determination of compliance with the conditions of §761.3, and copies 

of the signed certification of compliance. These recordkeeping requirements expire under their 

own terms, either three years after the manufacturer has ceased operating the process that 

necessitated notification, or after seven years, whichever is a shorter retention period. 

Monitoring records must contain the method of analysis; the results of the analysis, including 

data from the Quality Assurance Plan; a description of the sample matrix, the name of the analyst 

or analysis; the date and time of the analysis; and numbers for the lots from which the samples 

are taken [§§761.1(f)(1), .185(c)(2) and (d), and .193].

Subpart B—Manufacturing, Processing, Distribution in Commerce, and Use of PCBs and 

PCB Items

(#73) Records of Marketing Used Oil: Marketers who first claim used oil does not 

contain detectable levels of PCBs must retain records supporting the claim and a copy of each 

certification notice received or prepared relating to transactions involving PCB-containing used 

oil. Burners must include among the records a copy of each certification notice that has been 

provided to a marketer of PCB-containing used oil. These requirements also apply to persons 

who market or burn for energy recovery liquid containing PCBs at concentrations <50 ppm 

PCBs at the time of removal from a natural gas pipeline system [§§761.20(e)(4)(i) and (ii); 

.30(i)(5)(ii); and .60(b)(5)(iv)(B)].

(#74) Records of PCB Transformer Registration, Inspection, and Maintenance: 

Individuals are required to retain a copy of the transformer registration and the return receipt 

signed by the EPA and records of inspection and maintenance history for a period of 3 years 

after the disposal of the transformer(s). The records also shall contain information of the 

location of each transformer; inspection dates; date of discovery of any leaks; inspector’s name; 

location of any leaks; estimate of the amount of dielectric fluid leaked; date and description of 

any cleanup, containment, repair, or replacement; the results of any containment and daily

inspection required for uncorrected active leaks; and any transfer of ownership of PCB Items 

[§§761.30(a)(1)(vi)(C), (xii), and (xiv)].

(#75) Records of Reclassified PCB Equipment: Owners of reclassified PCB equipment 

must maintain records at the facility where the equipment has been reclassified to a lower PCB 

concentration for a period of 3 years after reclassified and sold, transferred, or disposed. These 

records, generated during the normal course of the reclassification procedure, must show that the 
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48

equipment was reclassified following the required reclassification procedure. When these 

procedures require testing, the records must include copies of the pre-and post-reclassification 

PCB concentration of the unit, taken by a laboratory using quality control and quality assurance 

procedures. Equipment includes transformers, voltage regulators, electromagnets, and switches. 

Also see #41a and #68a [§§761.30(a)(2)(v)(C) and (D); .30(h)(2)(v)(C) and (D), and .180(g)].

(#76) Natural Gas Pipeline Data: PCBs at concentrations of ≥50 ppm are authorized for 

use in natural gas pipelines if certain actions are taken to characterize the concentration and 

extent of contamination, as well as remedial measures taken to reduce the PCB concentrations 

below regulated levels. Records of the results of the sampling and analysis as well as any actions 

taken or not taken to reduce the PCB concentrations must be kept for 3 years after the PCB 

concentrations have been reduced to below regulated levels. EPA expects the recordkeeping 

burden to be minimal as the regulations allow for use of historical data. Owners or operators of 

natural gas pipeline systems that do not include sources of PCB contamination (e.g., natural gas 

compressors, natural gas scrubbers, and natural gas filters) containing ≥50 ppm PCBs also must 

comply with the recordkeeping requirements [§§761.30(i)(1)(iii)(B) and (C)]. 

(#77) Records of Equipment Stored for Reuse: Owners of PCB Articles stored for reuse 

must maintain records starting at and indicating the time the PCB Article is removed from use or 

starting from August 28, 1998, if the date it was removed from use is not known. The records 

must also include the projected location and the future use of the PCB Article, and, if applicable, 

the date the PCB Article is scheduled for repair or servicing [§761.35(a)(2)].

Subpart C—Marking

( #78) Records for Identifying PCB Large Low Voltage Capacitors: Owners or operators 

of PCB Large Capacitors located in protected locations must maintain a record for identifying 

the PCB Capacitors, but only if they choose not to mark each capacitor individually

[§§761.40(c)(2)(ii) and (k)].

Subpart D—Storage and Disposal

(#79) Records of Disposal for R&D Facilities: The self-implementing provisions under 

§761.60(j) allow individuals to conduct research and development for PCB disposal. One of the 

provisions is that R&D facilities must comply with existing recordkeeping requirements in 

§761.180 (e.g., maintain the annual document log and annual records) and the applicable storage 

and disposal requirements in Subpart D [§761.60(j)(1)(ix)].

(#80) Records of Remediation Activities: Individuals conducting self-implementing 

remediation projects are required to maintain records of the sampling plans, sample collection 

procedures, sample preparation procedures, extraction procedures, and instrumental/chemical 

analysis procedures used to assess or characterize the PCB contamination at the cleanup site. 

Persons using alternate methods for chemical extraction and chemical analysis for site 

characterization must keep on file records of a comparison study that meets or exceeds the 
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requirements of §761.269(c) [§§761.61(a)(3)(i)(E) and (a)(6), and Subparts O and Q].

(#81) Waivers of the Notification Requirement: Under the self-implementing 

remediation provisions of §761.61, individuals who receive a waiver of the 30-day notification 

requirement must maintain the original written waivers received from each of the agencies they

are required to notify under this section (i.e., the EPA Regional Administrator, state and county 

(or local) environmental offices) [§761.61(a)(3)(iii)].

(#82) Records of Remediation Cleanup Activities: For the cleanup of bulk PCB 

remediation waste, non-porous surfaces, porous surfaces, and liquids, site owners must keep 

records as per §761.125(c)(5) for a period of 5 years. The records must identify the source of the 

spill and include information on the estimated or actual date of the spill, the date cleanup was 

completed or terminated, a brief description of spill location and the nature of the materials 

contaminated, pre-cleanup sampling data used to establish spill boundaries, a brief description of 

the solid surfaces cleaned, the approximate depth of soil excavation and the amount of soil 

removed, post cleanup verification sampling data, and a brief description of the sampling 

methodology [§761.61(a)(9)].

(#83) Records of Sampling and Analysis of PCB Bulk Product Waste: Persons disposing 

of PCB bulk product waste in solid waste landfills must keep records of the sampling and 

analysis of PCB bulk product waste as well as required notifications. The records must be 

maintained for 3 years from the date of their creation and made available to EPA upon request 

[§761.62(b)(5)].

(#84) Attempts to Secure Disposal: The regulations include a provision that would grant 

individuals an automatic 1-year extension to store waste beyond the 1-year deadline for disposal 

if certain conditions are met. One of the conditions is that the individual must maintain a written 

record of his efforts to secure disposal capacity until the waste is disposed. These records must 

be made available for inspection by the EPA [§§761.65(a)(2)(ii),and (3)].

(#85, 86) Spill Prevention, Control, and Countermeasure (SPCC) Plan: Owners/operators 

of facilities using PCB storage containers, as per 29 CFR 1910.106, must prepare SPCC plans. 

SPCC plans are also necessary to temporarily store containers of PCB liquids >50 ppm. An 

SPCC plan is necessary when an individual has not previously stored liquid PCBs on a 

temporary basis [§§761.65(c)(1)(iv) and (7)(ii)].

(#87) Records of PCB Items in Stationery Storage Containers: PCB Items shall be dated 

when removed from service for disposal. For each batch of PCBs added to storage containers, as 

per §761.65(c)(7), owners of the containers shall maintain a record that includes the quantity of 

the batch and date the batch was added to the container. The record shall also include the date, 

quantity, and disposition of any batch of PCBs removed from the container [§761.65(c)(8)].

(#88) Records of Storage for Disposal of PCBs and PCB Items: Owners/operators of 

commercial storage facilities must establish and maintain records, as per §761.180, for the 
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storage and disposal PCBs and PCB Items ≥50 ppm [§§761.65(c)(10) and .180].

(#89) Incinerator Records: Owners and operators of incinerators must keep records 5 

years after the date of collection of the quantity of PCBs fed into the incinerator and the rate at 

which the PCBs are fed, the temperature of the incineration process, the results of continuous 

monitoring of combustion products for oxygen and carbon monoxide, at a frequency specified by 

EPA, and information on the weight of solid residue generated by the incinerator 

[§§761.70(a)(3), (4), and (7); (c); and .180(c)].

(#90) High Efficiency Boiler (HEB) Feed Rate and Emissions Record Retention: Persons 

burning liquids other than mineral oil dielectric fluid, containing PCBs between 50 and 500 ppm, 

in an approved HEB must retain the following records for a period of 5 years: the quantity of low 

concentration PCBs burned in the boiler each month, monthly waste analysis records, and the 

data required in §§761.71(b)(1)(vi) and (b)(1)(vii), which includes the carbon monoxide 

concentration and excess oxygen percentage in the stack gas; the fuel feed rate; waste fluid feed 

rate; and the quantities of fuel and waste fluid fed to the boiler [§§761.71(a)(1)(vi) and (vii), 

(a)(4), (b)(1)(vi) and (b)(1)(vii), (b)(5), and .180(e)].

(#91) PCB Disposal Using Scrap Metal Recovery Ovens and Smelters: The use of scrap 

metal recovery ovens and smelters is authorized for disposing of PCB-contaminated items when 

the equipment meets certain operating parameters and conditions. One of these parameters 

addresses the temperature of the hearth (i.e., at least 1,000o C when charged with PCB Items). 

Operators are required to record the temperature and retain the data at the facility for 3 years 

from the date each charge is introduced. Because these devices are considered disposal units, 

owners of the equipment must meet all applicable recordkeeping requirements in 40 CR 761 

Subparts J and K (e.g., maintain annual document log and annual records) [§§761.72(a)(9) and 

(b)(6)].

(#92) Chemical Waste Landfill Records: Owners/operators of chemical waste landfills 

that dispose of PCBs must maintain records at least 20 years after a facility ceases disposal 

operations of all PCB disposal operations, including PCB concentration in liquid wastes, the 

three-dimensional burial coordinates for PCBs and PCB Items, water sampling and analysis (i.e., 

samples of surface and ground water at locations and frequencies specified by EPA in their 

approvals), and additional records. The samples must be analyzed for PCBs, pH, specific 

conductance, and chlorinated organics [§§761.75(b)(6)(iii) and (b)(8)(iv) and .180(d)].

(#93, 94) Decontamination Activities: If individuals follow self-implementing 

decontamination procedures (and maintain the required records), they will not need to obtain a

PCB disposal approval, as is currently the case, to decontaminate for continued use or 

distribution in commerce items that had been contaminated with PCBs. Test and validation 

results of performance-based decontamination activities using PODFs and VADFs must be 

retained [Subpart T, §761.79(d)(4)]. Also, individuals that conduct PCB decontamination 

activities must maintain records of sampling activities that show sampling locations, analytical 

results, and information about the wastes generated by a decontamination process. These records 
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must be retained at the site of decontamination for a period of 3 years for inspection by EPA 

[§§761.79(f)(1) and (2)].

Subpart E—Exemptions

(#95, 96) Manufacture of PCBs and Processing/Distributing of Limited Quantities of 

PCBs or PCBs in Waste Materials for R&D: Under the class exemptions for manufacturers of 

PCBs and processors and distributors of limited quantities of PCBs and PCB analytical reference 

samples derived from waste materials for purposes of research and development, facilities 

seeking the exemption must maintain records on the source(s) of PCBs, the person(s) to whom 

the PCBs were shipped, and the amount(s) of PCBs received, processed and distributed in 

commerce annually. These records must be retained for a period of either 3 years after ceasing 

the processing and/or distributing operations or 5 years [§§761.80(e)(5), (g)(1), and (i)(7)].

Subpart G—PCB Spill Cleanup Policy

(#97, 98) Records of Spill Cleanup and Delays: Parties responsible for cleaning up PCB 

spills must maintain documentation of the cleanup activities and certification of the 

documentation for five years. Owners of PCB spills who have delayed cleanup because of 

circumstances such as civil emergency; hurricane, tornado, or other similar adverse weather 

conditions; lack of access due to physical impossibility; or emergency operating conditions, must 

keep records documenting the fact that circumstances precluded rapid response 

[§§761.125(b)(3), (c)(1) and (c)(5) and .61(a)(9)].

Subpart J—General Records and Reports

(#99) The Annual Document Log for PCBs and PCB Items: Owners/operators of PCBs 

and PCB Items in service or projected for disposal must maintain annual records and a written 

annual document log for 3 years after the PCB activities cease. The records must include signed 

manifests, Certificates of Disposal, records of inspections and cleanups, facility and Item 

identification information, total number of Items, telephone records, and Item transfer 

information. Individuals must also collect and maintain documents, correspondence, and data 

pertaining to storage/disposal of PCBs that have been provided to as well as received from any 

state or local government agency and any application/correspondence submitted to local, state, or 

federal permitting authorities [§§761.180(a), (a)(4), (b), and (f); and 761.65(c)(5)].

(#100) Recordkeeping of Monitoring Data for Inadvertently Generated PCBs: Any

importers of or manufacturers generating PCBs in excluded manufacturing process must 

maintain for a period of 3 years after ceasing process operations or importation, or for 7 years, 

whichever is shorter, monitoring or analytical data used to determine compliance of import, 

manufacture, process, distribution in commerce, or use of chemicals containing inadvertently

generated PCBs. The manufacturers’ records must include the reaction(s) believed to be 

generating PCBs, the levels of PCBs generated, and the levels of PCBs released. Importer 

records must include the reaction(s) believed to be generating PCBs, the levels of PCBs 
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generated, the basis for all estimations of PCB concentrations, and the name and qualifications of 

the person performing the analyses. Monitoring data must include the method of analysis, the 

results of the analysis, description of the plan matrix, names of the analysts, date and time of the 

analysis, and number for the lots from which the samples were taken [§§761.185(c)(2), (d), and 

.193(a) and (b)].

Subpart K—PCB Waste Disposal Records and Reports

(#101, 102) Recordkeeping of Manifests and Certificates of Disposal: PCB waste 

generators must retain a written record of all manifests and telephone and other confirmations 

regarding manifesting communications, which are to be included in the annual document log, in 

accordance with §761.180 [§761.208(a)]. Each transporter, storer, and disposer must retain one 

copy of each manifest or shipping paper [§§761.208(b) and (c)]. Each PCB waste-handling 

facility that initiates or receives a manifest must file and maintain a copy of each manifest. The 

generator of PCB waste shall keep a copy of each manifest until the generator receives a signed 

copy from the designated commercial storage or disposal facility that received the PCB waste. 

The generator, transporter, and owners/operators of the storage and disposal facilities shall keep 

a copy signed by the storer or disposer for at least 3 years from the date the PCB waste was 

accepted by the initial transporter [§761.209(a) to (d)]. Generators and commercial storers of 

PCB waste must also maintain a copy of each Certificates of Disposal received from disposers 

[§761.218(c)].

Subpart T—Comparison Study for Validating a New Performance-Based Decontamination 

Solvent Under §761.79(d)(4)

(#103) Results of Validation Studies: Persons conducting studies to validate a new 

performance-based decontamination solvent must record the testing parameters and experimental 

procedures in standard operating practices and must affix in an appendix the results of the 

validation study [§761.398(c)].

(ii) Respondent Activities

Typical respondents include: manufacturers, processors, distributors of PCBs in 

commerce; owners of PCB-contaminated equipment and PCB Items; PCB waste generators, 

transporters, commercial storers, and disposers (i.e., PCB waste handlers); owners/operators of 

laboratories; and other users of PCBs. All respondents must read the rule and determine which 

provisions are applicable to their operations; plan and modify their procedures to come into 

compliance with the rule; provide training to appropriate staff; process, compile, and review 

information for accuracy and appropriateness; and record, disclose, and/or report the required 

information. Specific responsibilities for each type of respondent are as follows:

Manufacturers, Processors, Distributors in Commerce of PCBs: Individuals who are 

included in the manufacturing exclusions must gather and document data on raw materials and 

intermediates used in the manufacturing process; analyze the reactions and conditions at issue; 
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survey the facility site and specific equipment to determine and document where and to what 

extent PCBs could be released into air, water, and end products. Individuals who seek 

exemptions from the manufacturing, processing, or distribution in commerce bans must 

document the amount of PCBs affected by the exemption request; describe the 

manufacturing/processing/distribution in commerce processes; comply with additional statutory

requirements of TSCA section 6(e)(3)(B); quantify the economic consequences of an exemption 

denial; and provide specifics about servicing and use activities, develop certification statements, 

and complete other paperwork.

Owners of PCB Items and PCB-Contaminated Equipment: There are various 

requirements for owners of the many different types of PCB Items. Owners of newly discovered 

PCB Transformers must register their Transformers with EPA and building owners, providing 

information on the number of PCB Transformers, their locations, and his or her name, address, 

telephone number and signature, or that of the authorized representative, which certifies the 

accuracy of the submitted information. Owners of these PCB Transformers must record 

inspection and maintenance information and file and maintain the data and information in the 

annual log about any transfer of ownership of a PCB Transformer. Owners of reclassified 

transformers, voltage regulators, electromagnets, and switches must maintain records showing 

that they followed the required reclassification procedures. When testing is required, equipment 

owners must keep records of the pre-and post-reclassification PCB concentration measurements. 

They must also provide records of the reclassification procedure to EPA and recipients of the 

equipment, upon request.

Individuals who discover fire-related incidents that result from a rupture of a PCB 

Transformer or PCB Voltage Regulator must report the incident to the National Response 

Center. Owners of PCB Items distributed in commerce for reuse must retain records in the 

annual document log of any transfers of ownership. Owners of large capacitors located in 

protected locations who choose not to mark these units individually must maintain records for 

identifying the Capacitors.

Owners of PCB Articles stored for reuse must maintain records of the Articles. Some 

owners of PCB Items may want to obtain approval to store equipment for disposal beyond the 

current 1-year limit, or to exceed the 5-year limit for the storage of equipment for purposes of 

reuse. In those cases, they would be required to contact the appropriate EPA Regional 

Administrator and compile and submit the requisite information. Utilities and other owners of 

PCB-contaminated equipment must create or modify their Spill Prevention, Control, and 

Countermeasure Plan (SPCC) if temporarily storing PCB liquids. Owners of PCB Items (in 

addition to PCB Transformers) are also required to record and maintain records of inspection, 

maintenance activities, cleanup, disposal, and certain decontamination activities. When PCB 

Items are removed from service for disposal, the owners of the Items must place the date on the 

item.

When owners of PCB Items generate wastes that must be handled as a PCB remediation 

or bulk product waste, they will need to determine which of the available disposal options (i.e., 
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self-implementing, performance-based, or risk-based options) should be used to address their 

disposal needs. These disposal options will require compliance with various reporting and 

recordkeeping requirements.

PCB Waste Handlers: PCB waste handlers must respond to the notification requirements 

by filling out a brief one-time form (EPA Form 7710-53) (see Appendix D) and filing and 

maintaining the information. Individuals who handle PCB-Contaminated liquid wastes must 

notify chemical waste landfill owners of the certain specified properties of the waste, and the 

landfill must obtain written approval from the EPA Regional Administrator before disposing of 

these wastes. Individuals disposing of PCB waste, such as in a high efficiency boiler, must 

notify the Regional Administrator about the activity.

Waste handlers attempting to secure disposal must maintain records of these attempts to 

be granted an automatic one-year extension to store wastes beyond the one-year deadline for 

disposal. If waste handlers change their waste-handling activities, they are also required to file 

an amended TSCA PCB notification form (EPA Form 7710-53, Appendix D), which provides 

information on the amended activity.

To handle PCB remediation wastes under the self-implementing option, site owners must 

notify the EPA Regional Administrator and other authorities about the remediation activities and 

submit a written certification to the Regional Administrator that site sampling and waste 

characterization plans are on file at a specified location. Generators of bulk PCB remediation 

waste must provide written notice to off-site waste handling facilities about the quantities that 

will be shipped to the facilities and the highest concentration of PCBs in the shipment. Property

owners with remediation sites that require the use of a fence or a cap must submit to EPA a 

certification that the property deed has a notation to that effect. The recordkeeping activities for 

individuals using the self-implementing remediation provisions for disposing of PCB 

remediation waste include retaining written waivers received from EPA or other authorities for 5 

years, maintaining records of sampling plans and characterization procedures, recording in the 

deed any sites that require the use of a fence or cap, and keeping records of cleanup activities for 

5 years. PCB waste handlers are required to record and maintain records, such as calculations 

used and validation and sampling results, on certain decontamination activities.

Any person using the risk-based disposal option to dispose of PCB bulk product waste 

must apply in writing to EPA to do so. Persons handling PCB bulk product waste must maintain 

records of sampling and analysis for 3 years. Any person with a spill involving one pound or 

more of PCBs must report the spill to the National Response Center.

PCB waste generators must provide manifests and/or shipping papers that will 

accompany the waste shipment to the transporters and to the disposers. When a generator uses 

an independent transporter, he or she must confirm either by phone or some other convenient 

means that the receiving PCB storage and/or disposal facility actually received the wastes. 

Generators, storers, transporters, and disposers must sign and retain copies of the manifests when 

they handle a shipment of PCB waste. Generators must submit exception reports to EPA when 
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they fail to receive confirmation from the disposer that a shipment of PCB waste has been 

properly disposed of.

Persons seeking coordinated approval for their waste-handling activities are required to 

submit requests for approval to the EPA Regional Administrator. These individuals are required 

to adhere to recordkeeping and reporting requirements, submit additional information as required 

by EPA, or submit an application for a TSCA PCB approval, and notify the Regional 

Administrator of any changes relating to the waste management documents that serve as the 

basis for the coordinated approval.

Owners and Operators of PCB Disposal Facilities: These respondents are expected to 

complete the EPA approval process: develop a description and a plan for a demonstration of the 

system; conduct demonstration and complete an analytical assessment of the results; and 

record/disclose information; submit a demonstration report; and develop standard operating 

procedures, a closure plan and financial assurance that cover the closure costs of the facility. 

Operators of approved chemical waste landfills, incinerators, or alternate PCB disposal 

technologies must also notify state and local officials prior to the first use of the technology, and 

if requested by a state or local government, provide annual notice of the quantities and types of 

PCBs disposed of during the year.

Owners/operators of incinerators must keep records regarding the PCBs fed into the 

incinerator and the operating conditions of the equipment. Owners of chemical waste landfills 

must collect and analyze samples of surface and ground water at EPA-approved locations. To 

dispose of residual PCB waste in a scrap metal recovery oven or smelter, the owner must obtain 

a permit or have the unit approved by the EPA Regional Administrator, and comply with 

applicable reporting requirements of Subparts J and K, such as recording operating temperatures. 

Persons burning PCB liquids in high efficiency boilers must retain records of the quantities 

burned, waste analysis results, and operational conditions of the boiler.

Owners and operators of PCB disposal facilities are required to submit annual reports to 

EPA. PCB waste disposers must submit unmanifested waste reports to EPA when they accept a 

shipment of PCB waste without an accompanying manifest. Disposers also must submit 

discrepancy reports when the PCB waste they receive for disposal does not match the description 

of the manifest that accompanies it. Owners/operators of disposal facilities must submit 

Certificates of Disposal to waste generators when a disposal is complete for each item on a 

manifested waste shipment. The disposers must maintain all of the above records. 

Owners/operators of PCB disposal facilities also are required to attempt to contact the generator 

when they receive a shipment of PCB waste that does not include a manifest.

Owners/Operators of Commercial Storage Facilities: These respondents must complete 

the EPA approval process; i.e., submit closure plans and financial assurances to EPA. They must 

notify the appropriate EPA Regional Administrator when it is necessary to exceed the 1-year 

storage limitation, to modify the facility, or amend the financial assurance mechanism. For 

subsequent extensions to the storage limitations, the requestor must submit specific justification 
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for the extension and indicate measures he is taking to secure disposal. Owners of commercial 

storage facilities must record and maintain records associated with PCB equipment inspections 

and cleanups. They must also submit a summary report to EPA of the type and quantity of PCB 

wastes that were managed at the facility during the preceding year. Commercial storers of PCB 

wastes must submit Exception Reports when they transfer the PCBs or PCB Items to the disposer 

within 9 months from the date of removal of the Item from service or when they have not 

received within 13 months from the date of removal from service for disposal a Certificate of 

Disposal confirming the disposal of the Item, as applicable.

Users of PCB waste storage containers can use containers other than those prescribed by 

ANSI for nuclear criticality safety if the user demonstrates that such containers are protective of 

human health and the environment. Managers of large bulk PCB storage containers shall have a 

record that includes for each batch of PCBs the quantity of the batch and the date the batch was 

added to the container.

If owners of storage facilities change their waste-handling activities, they would also be 

required to file an amended TSCA PCB notification form. EPA will approve changes in 

ownership of storage facilities if the transferee has established financial assurance for closure 

and the transferor has resolved any deficiencies, such as with operations, closure plans, and cost 

estimates.

Owners/operators of PCB commercial storage facilities are required to attempt to 

reconcile, with either the generator and/or transporter any significant discrepancy in the manifest. 

Owners/operators of PCB commercial storage facilities are required to attempt to contact the 

generator when they receive a shipment of PCB waste that doesn’t include a manifest.

Laboratories: Persons conducting R&D on PCB disposal are required to obtain an EPA 

identification number and notify EPA and other authorities before conducting the R&D 

activities. R&D facilities must also manifest wastes, as applicable, and submit requests to EPA 

when exceeding the specified limits for the PCBs used. R&D facilities can also submit requests 

for extensions in the duration of the activity. Facilities can submit exemption petitions to qualify

for the class exemptions to manufacture PCBs for disposal-related R&D activities or to process 

or distribute PCBs or PCB analytical reference samples derived from waste materials. Facilities 

seeking the exemption must maintain records of the activities for the annual log. Laboratories 

conducting self-implementing R&D for disposal activities must maintain annual records, as well.

R&D facilities seeking coordinated approvals may submit requests for approval to the 

EPA Regional Administrator. They are required to adhere to recordkeeping and reporting 

requirements, submit additional information as required by EPA or submit an application for a 

TSCA PCB approval, and notify the Regional Administrator of any changes relating to the waste 

management documents that serve as the basis for the coordinated approval.

Operators of laboratories who wish to exceed quantity limitations for the manufacture, 

processing, or distribution in commerce of PCBs will have to submit requests to EPA.
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Other Individuals (i.e., Users of PCBs): Owners of PCB-Contaminated natural gas 

pipeline systems who sell or distribute natural gas, can use these systems if they keep records of 

sampling and analysis results and actions taken to reduce the PCB concentrations to below 

regulated levels and submit a description of the system to EPA, if requested. Documentation of 

data and actions must also be made available to EPA upon request. Owners of natural gas 

pipelines must also include the system in public service notification programs, which inform 

landowners that they should contact the utilities before beginning any excavation work on their 

property. Owners of other PCB-contaminated gas liquid systems must obtain the consent of the 

EPA (Director, National Program Chemicals Division) to use the systems.

Persons burning for energy recovery used oil or liquids containing PCBs <50 ppm from 

a natural gas pipeline system must keep records of each certification notice, and marketers of 

these liquids must retain records related to transactions that they claim do not contain detectable 

PCBs. Other users of PCBs may have to deal with remediation waste or PCB bulk waste 

disposal issues. In that event, they will need to determine which of the available options (i.e., 

self-implementing, performance-based, leachability or risk-based) could be used to address their 

disposal needs. These disposal options will require compliance with various reporting and 

recordkeeping requirements.

5. THE INFORMATION COLLECTION — AGENCY ACTIVITIES, 

COLLECTION METHODOLOGY, AND INFORMATION MANAGEMENT

5(a) Agency Activities

EPA resources are devoted to reviewing and analyzing data submissions, compiling and 

recording data, maintaining hard-copy files of submitted data, inspecting facilities, producing 

inspection reports, responding to public inquiry, providing regulatory interpretations and 

developing rulemakings. OPPT staff members do not print or otherwise prepare collection 

instruments, compile mailing lists, or publish results. Although a web site has been established, 

EPA plans to continue/expand its review of the use of the Internet to facilitate the transfer of 

information from EPA to the public. More specific Agency activities are discussed below.

Data submitted to EPA for consideration in granting or denying requests for exemptions 

are reviewed, analyzed for confidentiality and appropriate protection, and placed in the docket. 

EPA makes determinations of whether to grant exemptions and develops rulemakings in 

response to the requests for exemptions. Agency staff also receives, analyzes, and reviews 

requests to exceed quantity limitations imposed by class exemptions.

Under the self-implementing procedures of the PCB regulations, data are submitted to 

EPA to qualify for the exclusion for processes/products containing low levels of PCBs from the 

statutory bans on the manufacture (including import), processing, and distribution in commerce 

of PCBs. These data are reviewed and stored pursuant to confidentiality requirements, when 
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appropriate, and placed in the docket for public review (sanitized documents only); inspections 

are conducted as prescribed by the enforcement policy. The information is used by EPA to 

identify manufacturers and importers of products containing low levels of PCBs, as well as for 

compliance monitoring and enforcement purposes.

Pursuant to the use authorization for PCB Transformers, EPA staff members created and 

currently maintain the PCB Transformer Database. Staff presently process registrations for 

newly discovered PCB Transformers. As Agency resources permit, EPA also updates the 

database to include additional information voluntarily submitted by PCB Transformer owners on 

the current status of PCB Transformers previously registered. This supplemental data is not 

required or solicited by EPA. On an “as requested basis,” EPA resources provide information 

from the PCB Transformers Database to environmental and emergency response officials. EPA 

also has placed these data on the Internet.

EPA staff also process both new and amended PCB notifications of waste handling 

activities and updates the Notification of PCB Activity Quarterly Reports on PCB waste 

handlers. These data are currently available on the Internet.

Information from annual reports that are submitted by storers and disposers of PCB waste 

enables the Agency to respond to public and Congressional inquiries, target inspections, and 

conduct compliance monitoring and other enforcement activities. To produce the inspection 

reports, EPA inputs, indexes and files data that are obtained during inspections, and prepares, 

reviews and revises the inspection reports.

Activities routinely conducted by EPA in processing requests for permits to operate a 

PCB disposal facility are as follows:

 Review/analyze applications to determine whether facilities have adequate technical 

plans and financial capabilities to operate and maintain the facility.

 Attend demonstrations.

 Grant/deny approval.

 Store the data.

Engineers in EPA’s Office of Resource Conservation and Recovery as well as staff in 

regional offices review the PCB disposal applications. The adequacy of the data contained in 

these applications is evaluated during a thorough review of the data and calculations and the 

assessment of subsequent demonstrations. In addition to disposal approvals, the Agency

receives, analyzes, and reviews applications for commercial storage approvals and coordinated 

approvals; as well as requests to exceed R&D and storage limitations and to use alternate 

disposal methods. For commercial storage approvals, EPA must also determine if the facility

will be able to close in an environmentally safe manner.
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5(b) Collection Methodology and Management

Currently, all of the PCB information collections are done in hard copy form. Although 

the content of these various collections has been specified, the majority do not require the use of 

a specific form or format. Therefore, electronic submission and manipulation of the data are not 

feasible at this time. Two of the collections, however, are on a form. EPA plans to review the 

efficiency of using the Internet to facilitate the transfer of information (such as reporting forms) 

between EPA and potential respondents.

Requests for disposal approval may be submitted in the form most convenient to the 

applicant. Because of the nature of the information (i.e., engineering blueprints), most of the 

information is generally submitted on paper, rather than electronically. Where appropriate, EPA 

accepts data in electronic format. There is no requirement for the information to be submitted in 

an automated, electronic, mechanical, or other technological information format. Records are 

maintained at EPA by the staff overseeing the review of permit applications. Applications are 

retained for the duration of the disposal facilities operating approval. The public may access the 

non-confidential portions of applications.

5(c) Small Entity Flexibility

Small businesses are not exempt from the PCB regulations under TSCA, and the 

information collections will affect all entities, regardless of size, that own or use PCBs or PCBcontaining equipment and generate PCB waste. The potential health ramifications necessitate 

equal reporting and recordkeeping requirements for all persons, and due to heightened awareness 

and concern for proper PCB disposal practices, the potential human and environmental risk 

necessitates equal disclosure by all applicants regardless of size. While all practical steps have 

been taken to minimize the reporting and recordkeeping burdens, the requirements imposed are 

the minimum necessary to maintain proper accountability for the disposition of the PCBs. These 

requirements assist EPA in meeting its statutory obligation to make a finding of no unreasonable 

risk for an authorized activity and determining, for example, whether a petitioner is eligible to 

receive the benefit of an approval, exemption, or exclusion. In general, while the reporting and 

recordkeeping requirements impose additional obligations on small businesses, these 

requirements are of a conventional nature that should be familiar to businesses, and are no more 

burdensome than conventional standard business practices. In addition, some requirements 

overlap with sound business practices, such as periodically inspecting valuable equipment, 

maintaining an inventory of property and other basic recordkeeping.

Small organizations will usually handle smaller volumes of PCBs than larger entities, 

thereby minimizing their reporting and recordkeeping burdens. The complexity of toxic material 

disposal and the required financial assurance to ensure against environmental liabilities seem to 

deter smaller businesses from engaging in disposal facility enterprises (e.g., it is economically

infeasible). In another example, the majority of PCB Transformers subject to these requirements 

are located in large industrial and utility locations, as the use of transformers designed to use 
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PCBs (Askarel transformers) is associated with high-voltage applications. Therefore, fewer 

small businesses are likely to own many PCB Transformers because of the nature of their 

application as well as significant costs associated with the initial purchase of the equipment and 

the long-term expense for operation and maintenance. Moreover, even assuming that PCB 

Transformers are as likely to be owned by small entities as larger firms, the regulatory cost 

remains very small relative to overall revenues.

In another example, the manufacturing exclusion was designed to minimize the burdens 

of the TSCA section 6(e) bans on chemical manufacturers. This rule has relieved small business 

manufacturers from the burdens of filing annual petitions for exemption from the manufacturing, 

processing, and distribution in commerce bans, as required under section 6(e)(3). Further, to 

minimize the burdens of information collection on small organizations, EPA allows significant 

flexibility in its information collection requirements so that manufacturers have options available 

to them for supporting their requests for exclusion. One option avoids the need for repeated 

sampling and reporting by allowing manufacturers to conduct theoretical analyses rather than 

actual sampling of process streams to estimate the levels of PCBs generated by the processes. If 

the basis for the theoretical analysis is sound, the manufacturer may certify compliance on the 

basis of that analysis, until and unless he or she engages in a new process or significantly alters 

the reported process. Additional flexibility is available for estimating the levels of PCBs 

generated and released. Rather than specifying any one sampling regime or method of 

theoretical analysis, the reports require only that petitioners support the estimates by any

defensible basis. For example, sampling results may be accompanied by a description of the 

sample matrix and any data from a quality assurance plan.

(i) Small Entities Affected by the PCB Regulations

Small business entities may include both those in the public and private sectors, and notfor-profit organizations as well as for-profit entities. The Regulatory Flexibility Act identifies 

three classes of small entities of special concern:

 Small for-profit businesses as defined by the Small Business Administration’s (SBA) 

Table of Size Standards.

 Small governments, defined as governmental jurisdictions, such as cities, towns, 

counties, or school districts, with a population less than 50,000.

 Small organizations, defined as not-for-profit enterprises that are independently

owned and not dominant in their fields.

Entities generating PCB wastes comprise the following classes:

 Electric utility industry: PCB-oil and contaminated mineral oil from electrical 

equipment such as transformers and large capacitors. Included in this category are 

publicly owned entities such as municipal and county electric systems as well as 
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61

other public power systems such as irrigation districts.

 Non-utility entities with privately owned electrical equipment, such as PCB 

Transformers and Capacitors and other PCB-Contaminated electrical equipment. 

This group includes those entities that own high-voltage transformers and large 

capacitors. A 1989 EPA report identified such entities as most likely to be in oil and 

gas production, manufacturing, railroads, and telecommunication industries. Notfor-profit entities such as colleges and universities and hospitals are also to be 

included in this group (EPA, 1989). Public-sector operations such as prisons might 

also possess this type of equipment.

 Entities with PCB ballasts from fluorescent light fixtures. Due to the widespread use 

of fluorescent lighting, any entity operating out of a fixed location built prior to the 

late 1970s is a possible candidate for inclusion in this class of waste generators. 

Included are government bodies, such as school districts, that have such lighting 

equipment.

 Entities operating natural gas pipelines may have PCB-contaminated pipeline 

equipment resulting from the contact of condensate with PCB-contaminated oils 

used in pipeline compressors.

 PCBs have been found in electrical components of appliances and in automobiles, 

and disposal operations such as automobile or appliance shredding may generate 

PCB-contaminated materials.

 Cleanup of Superfund sites and other hazardous waste sites may generate PCBcontaminated materials.

Electric Utilities: It has been estimated that 60 to 70 percent of the PCBs produced were 

used in dielectric fluid for transformers and capacitors. Thus, such high-voltage equipment, 

including askarel and mineral oil transformers and large PCB Capacitors, represents a major 

source of PCB waste generation. EPA studies of the numbers of such equipment in use assumed 

that utilities owned 30 percent of the askarel transformers, 80 percent of the mineral oil 

transformers, and 90 percent of the large PCB capacitors, with the remainder owned by nonutility industrial enterprises (U. S. EPA, 2004a). In 2003, EPA estimated that 3,170 utilities 

might own PCB and PCB-contaminated electrical equipment (U.S. EPA, 2003). The SBA smallentity definition for the electric utility industry includes entities producing 4 million megawatthours of electricity sales or less. Small publicly owned utilities are those owned by government 

bodies with a population of less than 50,000.

Other Industrial Sectors: The available evidence suggests that PCB waste generation 

related to contaminated electrical equipment, fluorescent light ballasts, and other PCB wastes, is 

common throughout a number of industrial sectors. The 1989 EPA study, based on Arkansas, 

New York, and California state information about PCB waste generators, identified oil and gas 
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62

production (NAICS 211111), manufacturing (NAICS 31-33), line-haul railroads (NAICS 

48211), telephone communications (NAICS 513), and refuse systems (NAICS 562111) as 

accounting for over 90 percent of the non-utility, private sector PCB waste generators. 

Information on PCB waste generators for New York and California indicate that a large 

proportion of non-utility PCB waste generators fall within NAICS codes 211, 31-33, 335, and 

562. These industries are expected to account for most of the PCB wastes associated with the 

disposal of electrical equipment. Hospitals (NAICS 62211) and colleges and universities 

(NAICS 61131) are also likely to have high-voltage electrical equipment of the type associated 

with PCB contamination and thus should be included within the class of PCB waste generators 

associated with such equipment. This assumption is corroborated by the inclusion of such 

establishments among the New York hazardous waste generators listed as disposing of PCB 

transformers and capacitors. The specific description of the wastes for each generator provided 

by the New York data also confirms the belief that wastes associated with fluorescent light 

ballasts are generated by establishments throughout the private and public sectors.

EPA used this information about the industrial pattern of PCB waste generation to

develop industry-specific estimates of the number of establishments that might have PCB and 

PCB-Contaminated Electrical Equipment. Based on a previous study of the electric utility

industry, EPA estimated that 0.3 percent of electric utility customers receive power at high 

voltage levels (ERG, 1993). High-voltage customers in most cases have transformers, 

capacitors, and other equipment necessary to transform the voltages and distribute electricity 

within their premises. That study also estimated that 85 percent of such establishments own their 

own high-voltage transformation equipment, the remainder using transformation equipment 

provided or leased to them by their utility company.

Previously, EPA estimated that approximately 50,000 industrial establishments have 

affected equipment (U.S. EPA, 2003). While the likelihood of owning the regulated equipment 

increases for high-voltage customers, it is not the only characteristic that is relevant. Lowvoltage distribution equipment can also be PCB-contaminated.

EPA distributed the affected establishments among industries using judgments of the 

distribution of high voltage equipment among 3-digit NAICS industries. Thus, while an 

establishment need not be a high-voltage customer to be affected by the regulations, being a 

high-voltage customer was considered the best indicator of whether the establishment would be 

using PCB-containing equipment. The methodology included the following judgments. First, 

the industries were stratified according to whether they would include a substantial number (high 

prevalence), relatively few (low prevalence), or a negligible number of high-voltage users. 

Second, high-prevalence industries were judged to account for two-thirds of the list of highvoltage users. The 50,000 affected establishments were then distributed among industries within 

these two groups on the basis of the overall distribution of establishments. The results of this 

distribution methodology are shown in Table 3-2 of the Draft Analysis of the Cost Impacts of 

Potential Amendments to the PCB Regulations at 40 CFR 761 (U.S. EPA, 2003).

For most NAICS industries, SBA classifies small entities by employment size. 
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63

Depending upon the industry, entities with fewer than 500, 750, or 1,000 employees are 

classified as small businesses.1 For most of the remaining industries, small firms are classified 

by revenue size.2 To estimate the number of small entities for these industries, average revenues 

per entity were calculated for each employment size category in each six-digit NAICS code. The 

average revenue per entity for employment size classification in each NAICS code was then 

compared to the SBA small business definition. All entities in size classifications falling below 

the small business definition were counted as small businesses.

Table 3-3 in the Draft Analysis of the Cost Impacts of Potential Amendments to the PCB 

Regulations at 40 CFR 761 presents estimates of the number of entities in each industry that own 

affected equipment (U.S. EPA, 2003). These estimates are based on the distribution of highvoltage equipment establishments and assume that the frequency of high-voltage equipment 

ownership among entities is the same among establishments. Also, small entities are assumed to 

be as likely to own high-voltage equipment as larger firms, an assumption that may result in an 

overstatement of the actual number of small entities that own such equipment. Of the estimated 

9,490 entities with high-voltage equipment, 1,928 are electric utilities. Electric utilities account 

for 1,840 of the 9,053 small entities with high-voltage equipment. Additionally, since this indepth analysis was conducted, companies have disposed of approximately 3 percent annually of 

PCB equipment (U.S. EPA, 2005b), indicating that the number of small businesses being 

impacted continues to decrease.

5(d) Collection Schedule

Most of the reporting activities are triggered by specific events or on an as needed basis 

rather than by specific dates, as shown on Table 5-1 and 5-2.

 

1 The Census Bureau’s Statistics of U.S. Businesses does not classify entities in size groups beyond the size 

group of ‘greater then 500 employees’. Consequently, entities, establishments, employees, or revenues in size 

groups of fewer than 750 or 1000 employees cannot be allocated. For these size standards, data for entities with

fewer than 500 employees were used as a conservative estimate.

2 Except for utilities (NAICS 221111, 221112, 221113, 221119, 221121, and 221122). These utility 

industries are defined as small if they generate less than 4 million megawatt-hours of electricity sales per year. 

Electric utility operating data collected and reported by the Energy Information Administration (EIA, Form 861) 

were used to determine the number of small entities and revenues for utilities.
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64

TABLE 5-1

REPORTING SCHEDULE FOR ICR 1446.09, SECTION 5(d)

Ref. 

#

Regulatory 

Section(s) Collection Requirement Collection Schedule

40 CFR 761

Subpart A—General

1 §761.(f)(1)(2), and 

(3)

Submit new reports or modifications to existing reports to 

qualify for manufacturing/import exclusions, pursuant to 

compliance with the reporting requirements of Subpart J.

Within 90 days of initiating a manufacturing process/import. 

Subsequent submission of information is required if a manufacturer 

significantly alters a production process, or to report periods of 

unusually high generation or release of PCBs. (See numbers 42 and 43)

Subpart B—Use

2 §§761.20(b) and

(c)(1) and (3)

Submit an exemption petition as per TSCA section 6(e)(3) 

to manufacture (import), process, or distribute in commerce 

(export) PCBs, unless otherwise authorized. 

On an as needed basis.

3 §761.30(a)(1)(vi)

and (vii); (xv)(D)

Register newly discovered PCB Transformers. Within 30 days of identifying Transformer.

4 §§761.30(a)(2)(v)(C) 

and .30(h)(2)(v)(C) 

Submit requests to reclassify equipment using alternate 

methods.

On an as needed basis.

5 §761.30(i)(1)(iii)

(A)(1) and (C)

For gas pipeline systems owned/operated by a seller or 

distributor of natural gas, submit a description of the 

systems that contain >50 ppm PCBs and make available 

documentation of data and actions to comply with use 

authorizations.

Upon request of EPA.

6 §761.30(t)(3) Obtain EPA approval for the use of PCBs in other gas or 

liquid systems.

When planning use of system.
TABLE 5-1, continued

REPORTING SCHEDULE FOR ICR 1446.09, SECTION 5(d)

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Ref. 

#

Regulatory 

Section(s) Collection Requirement Collection Schedule

7 §761.35(b) Obtain EPA Regional Administrator approval for an 

extended storage for reuse period.

6 months prior to expiration.

Subpart D—Storage and Disposal

8 §§761.60(e) and

(i)(2), .70(a), (b),

and (d), and

.75(b)(7), (b)(8)(ii),

and (c)

Submit disposal permit applications, when appropriate, and 

demonstration plans. 

Applications are submitted as needed. Once an approval is granted, the 

permittee must notify the Agency prior to the expiration date if a 

renewal of the approval is desired. If no changes or modifications have 

been made to the disposal process in the year preceding expiration, the 

permittee must simply re-demonstrate the process.

9 §761.60(j)(1)(i) Obtain an identification number for PCB R&D disposal. When planning R&D for disposal.

10 §761.60(j)(1)(ii) Notify EPA (as well as state and local environmental 

officials) of PCB disposal R&D activities.

30 days prior to initiating R&D activity. 

11 §761.60(j)(2) Obtain a waiver to increase the volume or concentration of 

PCBs or duration of an R&D activity. R&D disposal 

approval may be required by the EPA Regional 

Administrator. 

When needed.

12 §§761.61(a)(3)(i) and 

(ii) 

Notify EPA (as well as state and local environmental 

officials) of self-implementing remediation activity. 

Additional information may be requested. 

30 days prior to remediation.

13 §761.61(a)(3)(ii) Notify EPA of changes to self-implementing remediation 

activities. 

Within the 30-day notification period.

14 §761.61(a)(3)(iii) Request a waiver of the notification requirement. If remediation is needed.

15 §761.61(a)(8)(i)(B) Submit certification that the deed notation for properties 

requiring a fence or cap has been recorded and includes the 

cap/fence notice.

Within 60 days of completion of remediation.
TABLE 5-1, continued

REPORTING SCHEDULE FOR ICR 1446.09, SECTION 5(d)

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Ref. 

#

Regulatory 

Section(s) Collection Requirement Collection Schedule

16 §761.61(c)(1) Apply for risk-based disposal of PCB remediation wastes. 

Submit additional information as requested by EPA.

Before alternative activity takes place. 

17 §761.62(c)(1) Obtain approval for risk-based disposal or storage of PCB 

bulk product waste. Provide additional information and 

periodic progress reports, as requested by EPA

Before activity takes place.

18 §761.65(a)(2) Provide information on continuing attempts to secure 

disposal. Request a 1-year storage extension. 

30 days prior to disposal deadline.

19 §761.65(a)(3) Submit request for additional extensions beyond the initial 

1-year extension, including justification and information on 

measures taken to secure disposal.

When needed.

20 §761.65(a)(4) Submit request for modifications to TSCA approval to 

allow for extended storage period.

Before extension expires.

21 §761.65(c)(6)(i)(C) Demonstrate that other containers for storage of 

PCB/radioactive wastes are protective of health and the 

environment.

When needed.

22 §§761.65(d); 

(e)(1),(6), and (8); 

and (f)

Prepare application for commercial storage approval. 

Notify EPA of facility modification, impending closure, 

and completion of closure.

When needed; 60 days before final is scheduled to begin; within 60 

days of completion of closure. 

23 §§761.65(e)(4) Submit a written request to the EPA Regional 

Administrator to modify a storage approval to amend the 

closure plan, when there are changes in ownership, changes 

in expected dates of closure, and/or unexpected events.

When needed.

24 §761.65(g)(9) Notify EPA of modifications to commercial storage 

facilities.

Within 30 days of facility modification.
TABLE 5-1, continued

REPORTING SCHEDULE FOR ICR 1446.09, SECTION 5(d)

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Ref. 

#

Regulatory 

Section(s) Collection Requirement Collection Schedule

25 §§761.65(j) Demonstrate that a new commercial storage facility owner 

has established financial assurance for closure. 

As of the date of final EPA approval. Submit new or amended 

commercial storage application as a result of change in ownership.

26 §§761.70(a)(8), (9); 

and (d)(5)

Obtain approval of alternate measures when regulatory 

requirements cannot be met for operating an incinerator 

used for incinerating PCBs.

When needed.

27 §§761.70(d)(8);

761.75(c)(7)

Notify EPA of change in ownership of disposal facility 

(i.e., for incinerators and landfills).

Within 30 days of transferring ownership.

28 §§761.71(a)(2) and

(b)(2)

Notify EPA of high efficiency boiler information, (e.g., 

HEB owner, address, and specifications).

Seek approval to burn liquids, other than mineral oil 

dielectric fluid in a high efficiency boiler.

One-time notification 30 days before initially burning mineral oil 

dielectric fluid (MODEF) in the boiler.

One-time approval prior to burning liquids.

29 §761.72(c)(2) Notify EPA as a scrap metal recovery oven or smelter used 

to dispose of PCBs.

Before burning PCBs (Also see #44).

30 §761.72(c)(3) Request approval to dispose of PCBs in an oven or smelter 

based on site-specific risk assessments, in lieu of meeting 

requirements listed in §761.72. 

Before use of unit.

31 §§761.77(a)(1)(i),

(a)(1)(ii)(A)(1) and 

(C), and .77(a)(2)

Submit a notification to the EPA Regional Administrator

for coordinated approval and additional information, as 

requested by EPA. Submit an application for TSCA 

disposal approval, if the Regional Administrator denies the 

request for a coordinated approval or determines that the 

conditions of the coordinated approval are not met. 

When seeking coordinated approval; when requested by the Regional 

Administrator.

32 §761.77(a)(3) Notify EPA of changes in PCB waste management 

requirements in the document(s) used to obtain TSCA PCB 

coordinated approvals.

Within 5 days of when changes are made. 
TABLE 5-1, continued

REPORTING SCHEDULE FOR ICR 1446.09, SECTION 5(d)

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Ref. 

#

Regulatory 

Section(s) Collection Requirement Collection Schedule

33 §761.79(h) Request approval of alternative decontamination or 

sampling methods.

When needed.

Subpart E—Exemptions

34 §§761.80(e)(1) and 

(i)(1)

Submit R&D exemption petition to qualify for the class 

exemption for manufacturing PCBs for disposal and for 

processing and distributing PCBs and analytical reference 

samples derived from PCB waste.

60 days prior to activities.

35 §761.80(e), (i)(2)

and (n)

Submit certified letter to request renewal of certain 

exemptions. 

6 months prior to expiration.

36 §§761.80(e)(3),

(g)(2) and (i)(4)

Obtain approval to exceed limits of the exemption. 60 days before manufacture of PCBs.

37 §761.80(e)(4) Notify EPA in writing when R&D activities will include 

the manufacture of PCBs.

30 days prior to beginning R&D activities. 

38 §§761.80(n) Submit a petition for certain exemptions to address 

increases in the amount of PCBs to be processed and 

distributed, imported (manufactured), or exported, or 

changes in the manner of processing and distributing, 

importing (manufacturing), or exporting PCBs.

When needed.

Subpart F—Transboundary Shipments of PCBs for Disposal

39 §§761.93(a) and 

.97(a)

Submit an exemption petition to import or export PCBs or 

PCB Items for disposal.

When needed (See #2).

Subpart G—PCB Spill Cleanup Policy
TABLE 5-1, continued

REPORTING SCHEDULE FOR ICR 1446.09, SECTION 5(d)

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69

Ref. 

#

Regulatory 

Section(s) Collection Requirement Collection Schedule

40 §761.125(a)(1)(i) to 

(iii)

Report all spills to certain areas of 10 pounds or more to 

EPA (and spills involving 1 pound of PCBs to the National 

Response Center). 

Within 24 hours of discovery.

Subpart J—General Records and Reports

41 §§761.180(b), (b)(3), 

and (c)(5)

Submit annual reports for PCB wastes disposed of in a PCB 

disposal facility (including wastes disposed of by waste 

generators), and for wastes stored by commercial storage 

facilities. 

By July 15 of each year for the previous calendar year.

41a §761.180(g) Provide records of PCB equipment reclassification, if 

requested, to EPA. Also see #68a.

Upon request.

42 §761.185 Notify EPA and certify low level PCB product 

contamination to be exempt from the requirements of 

Subpart B, regarding processes inadvertently generating 

PCBs and imports of products containing inadvertently 

generated PCBs. Certification must be repeated if the 

previous certification is no longer valid.

Within 90 days of having processes or imports for which such reports 

are required.

43 §761.187 Notify EPA when PCB releases exceed limits, to be exempt 

from the requirements of Subpart B, for products, 

manufactured or imported containing inadvertently 

generated PCBs.

When limits are exceeded. 

Subpart K—PCB Waste Disposal Records and Reports

44 §§761.202(a); 205(a) 

to (c)

Notify EPA of waste handling activities, for generators, 

commercial storers, transporters, or disposers of PCB 

waste.

Prior to engaging in PCB waste handling activities.

45 §761.205(f) Report changes in notifications previously submitted by 

PCB waste handlers.

Within 30 days of making a change.
TABLE 5-1, continued

REPORTING SCHEDULE FOR ICR 1446.09, SECTION 5(d)

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Ref. 

#

Regulatory 

Section(s) Collection Requirement Collection Schedule

46 §§761.208(a)(4)

and .215(b)

to (d).

Submit Exception Reports to EPA, as specified in 

§761.215(b) to (d), when PCB waste generators, disposers, 

and/or commercial storers do not receive confirmation that 

a shipment of a PCB waste has been properly disposed of.

Within 45 days of the events that trigger the report.

47 §761.210(b) Submit Discrepancy Reports along with a copy of the 

manifest to EPA when the PCB waste received by a 

disposer is significantly different from the description on 

the manifest, and the discrepancy is not resolved after 

receiving the waste. 

Within 15 days after receiving the unmanifested PCB waste.

48 §761.211(b) Notify EPA Regional Administrator of unmanifested PCB 

waste, for owners/operators of commercial storage facilities 

who cannot contact the generator of the PCB waste.

Upon receiving unmanifested waste and unable to contact the generator.

49 §761.211(c) Submit Unmanifested Waste Reports (e.g., waste 

description, volume, disposition; date received; ID numbers 

of waste handlers for that waste) to EPA when disposers 

accept a shipment of PCB waste without an accompanying 

manifest.

Within 15 days after receiving the unmanifested PCB waste.

Subpart T—Comparison Study for Validating a New Performance-Based Decontamination Solvent under §761.79(d)(4)

50 §§761.395 and

761.398

Submit results of analysis and validation study to the 

Director, National Program Chemicals Division (NPCD).

Prior to the first use of a new solvent for alternate decontamination
-71-

TABLE 5-2

THIRD-PARTY REPORTING SCHEDULE FOR ICR 1446.09, SECTION 5(d)

Ref. #

Regulatory 

Section(s) Collection Requirement Collection Schedule

40 CFR 761

Subpart B—Use

51 §§761.20(e)(3)(ii); 

.30(i)(5)(ii); and 

.60(b)(5)(iv)(B)

Burner of used oil must provide a 1-time certification 

to the marketer that he is in compliance with 

notification requirement at §761.71(a)(2).

Before accepting the first shipment of used oil.

52 §§761.30(a)(xi)

and (xv)(A) and

.30(h)(1)(ii)(B)

Notify National Response Center of PCB 

Transformer and PCB Voltage Regulator fires.

Immediately upon discovery of an incident.

53 §761.30(a)(1)

(xiv)

Notify owner of PCB Transformer that equipment 

may pose risk of exposure to food or feed.

When discovering potential exposure to food or feed.

54 §761.30(a)(1)(xv)

(D)

Register PCB Transformers with the building owner. Within 30 days of discovery of the PCB Transformer.

Subpart D—Storage and Disposal

55 §761.60(a)(3)(ii) Provide information to chemical waste landfills that 

liquids do not exceed 500 ppm and are not ignitable.

Prior to disposal in the landfill.

56 §761.60(b)(5)(i)

(A)(1)

Include natural gas pipes that contain PCBs in public 

service notification programs. 

Before abandoning natural gas pipes.

57 §761.60(f)(1)(i) Notify state and local officials of PCB disposal in 

chemical waste landfill, incinerator, or an alternate 

PCB disposal technology.

At least 30 days before a facility is first used.

58 §761.60(f)(1)(ii) Provide annual notice to state and local governments 

about PCBs disposed of during the year.

At the request of the state or local governments.

59 §761.60(j)(1)(ii) Notify state and local environmental officials (as well 

as EPA) of PCB disposal R&D activities.

30 days prior to initiating R&D activity.
TABLE 5-2, continued

THIRD-PARTY REPORTING SCHEDULE FOR ICR 1446.08, SECTION 5(d)

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72

Ref. #

Regulatory 

Section(s) Collection Requirement Collection Schedule

60 §761.60(j)(1)(vii) Manifest wastes generated by R&D on PCB disposal 

that are transported from the R&D facility to a 

commercial storage or disposal facility, unless the 

residuals or unused samples are returned to the site of 

generation.

Upon transport of waste.

61 §§761.61(a)(3)(i) Notify state and local environmental officials (as well 

as EPA) of self-implementing remediation activity. 

30 days prior to remediation and when additional information is 

requested.

62 §761.61(a)(5)(i)

(B)(2)(iv)

Notify offsite non-TSCA facility of pending shipment 

of PCB remediation waste.

15 days prior to [first] shipment. 

63 §761.61(a)(8)(i)

(A)

Attach a notation to the deed for property at which 

remediation projects require a permanent fence or 

cap.

Within 60 days of completion of the cleanup activity.

64 §§761.62(b)(4)(i) 

and (ii) (See also 

§§761.357 and 359)

Provide notification to a receiving facility that does 

not have a commercial PCB storage/ disposal 

approval of a pending shipment of remediation or 

bulk product waste.

15 days in advance of the first shipment and with each shipment 

thereafter. 

65 §§761.65(c)(1)

and (8)

Attach a notation to a PCB Item or PCB Container 

containing the item indicating the date the Item was 

removed from service for disposal, to be able to 

temporarily store the item/container in an area that 

does not comply with the storage requirements of 

paragraph (b) of this section. 

When removed from service for disposal.

66 §761.65(i)(3) Send information, instead of manifest, regarding the 

sample collector, laboratory, and date of sample 

shipment with sample.

When sending PCB samples to a laboratory for testing. 

Subpart G—PCB Spill Cleanup Policy
TABLE 5-2, continued

THIRD-PARTY REPORTING SCHEDULE FOR ICR 1446.08, SECTION 5(d)

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73

Ref. #

Regulatory 

Section(s) Collection Requirement Collection Schedule

67 §761.125(a)(1) Report spills involving 1 pound or more by weight of 

PCBs to the National Response Center (and all spills 

to certain areas or of 10 pounds or more to EPA). 

Within 24 hours of discovery.

68 §761.125(c)

(2)(ii)

Place label or notice of PCB contamination at 

cleanup site.

When contaminated soil is cleaned up to 50 ppm PCBs and not 25 ppm.

Subpart J—General Records and Reports

68a §761.180(g) Provide records of PCB equipment reclassification, if 

requested, to recipient of equipment. Also see #41a.

Upon request.

Subpart K—PCB Waste Disposal Records and Reports

69 §§761.207(a) and

.208(a)(2) and (3) 

Send manifests to the next non-rail transporter and 

the owner or operator of the designated commercial 

storage or disposal facility.

When generators ship PCB wastes by rail or in bulk.

70 §§761.208(c)(1)(iv) 

and (c)(2)(iv)

Send a copy of the manifest or shipping papers to the 

generator.

Within 30 days after delivery.

71 §§761.218(a) and 

(b)

Send Certificates of Disposal to generators of PCB 

waste when disposal of each item is complete for a 

manifested PCB waste shipment. 

Within 30 days after the disposal date.
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74

ESTIMATING THE BURDEN AND COST OF THE COLLECTION

6(a) Estimating Respondent Burden 

To update the respondent burden for this ICR, the hourly burdens and the total number of 

respondents for each requirement were reviewed using a number of data and information sources 

and consultations with regulated entities. The level of effort remains the same as the previous 

ICR, as respondent tasks have not changed. In a number of cases, however, EPA has revised the 

total number of respondents or the total amount of equipment that must be tracked based on more 

recent information.

One data source used to revise this Consolidated ICR was Appendix A: Data Acquisitions 

Report for an Economic Analysis of Phasing Out PCB Transformers and Large Capacitors (U.S. 

EPA, 2004b). This document includes estimates of PCB transformers and capacitors based on 

recent discussions with industry stakeholders. Other data sources include EPA’s Notification of 

PCB Activity Quarterly Reports, the PCB annual report, and the EPA PCB website, which contain 

data about entities that generate, store, transport, dispose, research, and smelt PCB wastes and 

equipment (U.S. EPA, 2010a 2010b, 2010c, 2010d). EPA PCB Regional Coordinators were also 

contacted to obtain information about the number of notifications that were submitted to the 

Agency over the past few years. The number of notifications EPA Headquarters received was 

also tallied.

New hourly wage rates were included for managerial, professional and technical (e.g., 

engineers), and clerical staff. Wages for these categories were taken from the Bureau of Labor 

Statistics (BLS) Employer Costs for Employee Compensation (ECEC) data for private industry

(BLS, 2010). The cost of fringe benefits such as paid leave and insurance, specific to each labor 

category, are taken from the same ECEC series. An additional loading factor of 17 percent is 

applied to wages to account for overhead. This approach is used for consistency with Office of 

Pollution Prevention and Toxics economic analyses (Rice, 2002). This overhead loading factor 

is added to the benefits loading factor, and the total is then applied to the base wage to derive the 

fully loaded wage. Fully loaded costs for managerial, profession/technical, and clerical labor are 

calculated as shown in Table 6-1. 

Burden summary. The total estimated time for respondents to comply with the reporting, 

third-party reporting, and recordkeeping requirements of this Consolidated ICR is 685,335 hours. 

The annual burden associated with respondents complying with the reporting requirements of 

this Consolidated ICR is estimated to average 150,166 hours industry-wide. The total thirdparty reporting burden is estimated to average 15,595 hours, industry-wide, and the total 

recordkeeping burden of this Consolidated ICR is estimated to average 518,574 hours, industrywide. The average hourly estimates and total number of respondents for each reporting, thirdparty reporting, and recordkeeping burden are explained on Tables 6-2 to 6-4, respectively. Note 

that the burdens associated with requirement numbers 1, 2, 4, 6, 11, 19, 20, 26, 28-30, 32, 36, 38, 

39, 42, 43, 47, 51, 53-55, 58, 59, 61, 64, 66, 72, and 73 will either have negligible impacts to the 

requirements or were costed with other requirements as indicated on the tables, and thus no 

estimates were included for these requirements.
--

75

TABLE 6-1

DERIVATION OF LOADED RESPONDENT WAGE RATES

Labor 

Category BLS Series

Wage

(a)

Fringe 

Benefit

(b)

Fringes as 

% wage

(c)=(b)/(a)

Overhead % 

wage

(d)

Fringe + 

overhead 

factor*

(e)=(c)+(d)

+1

Loaded 

Wages

(f)=(a)* 

(e)

Managerial

Management, 

business, and 

financial

$38.30 $16.61 43% 17% 1.60 $61.42

Professional/

Technical

Professional and 

related $32.16 $12.87 40% 17% 7 $50.50

Clerical

Office and 

administrative 

support

$15.65 $6.67 43% 17% 0 $24.98

Methodology Source: Rice, 2002; Data Source: 2009 December wage data, BLS, 2010.

To simplify the presentation of the numerous hourly burden and cost estimates, the data 

are arrayed according to reporting, third-party reporting, and recordkeeping requirements for 

each section of the regulation, consistent with the presentation of the information in the tables of 

sections 2 and 5, rather than to rearrange and present the data by respondent type. EPA 

anticipates that no one individual would be subject to all of the requirements 40 CFR Part 761. 

Refer to section 4 for a complete description of the activities listed on Tables 6-2 to 6-4.

6(b) Estimating Respondent Costs

Tables 6-5, 6-6, and 6-7 show the annual respondent hourly burden and cost estimates for 

the reporting, third-party reporting, and recordkeeping requirements of the Consolidated ICR. 

Refer to section 6(a), above, for an explanation of the wage rates used, which are as follows:

 Managers—$61.42

 Professional/technical—$50.50

 Clerical—$24.98

There is one capital cost associated with this ICR. For Item # 68, there is an estimated 

$50 per site cost to place a sign at a PCB contamination cleanup site. For 252 sites, the total 

estimated annual capital cost would be $12,600 (not annualized). There are no new training 

costs anticipated to the affected industries or the Federal government associated with responding 

to the information collections that are subject to renewal, nor have there been any Federal costs 

associated with printing or mailing. Costs associated with reading the rules, providing training, 

and updating procedures to comply with the reporting and recordkeeping requirements are not 

included in this renewal as no new regulations have been promulgated that involve paperwork 

burdens. One-time requirements remain annualized for a 3-year period, as indicated on Tables 6-

5 to 6-7. Because operations and maintenance costs for these information collections (i.e., costs 

associated with telephone calls, photocopying, and other general office overhead expenses) have 

been estimated to be relatively low and within the range of the estimation error, there are no 

added costs for these activities. Also note that variations in some of the totals on the tables are 

caused by rounding.
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76

TABLE 6-2

REPORTING BURDENS UNDER TSCA SECTION 6(e): ICR 1446.09, SECTION 6(a)

Ref. 

#

Regulatory 

Section(s) Collection Requirement Time Estimate

Total # 

Respondents

Per Year Comments

40 CFR 761

Subpart A—General

1 §761.1(f)(1), (2), 

and (3)

Submit new reports or modifications to 

existing reports to qualify for manufacturing/ 

import exclusions, pursuant to compliance 

with the reporting requirements of Subpart J.

— — Burdens are reported under §§761.185 and 

§761.187. See numbers 42 and 43.

Subpart B—Use

2 §§761.20(b) and

(c)(1) and (3)

Submit an exemption petition as per TSCA 

section 6(e)(3) to manufacture (import), 

process, or distribute in commerce (export) 

PCBs, unless otherwise authorized. 

— — Burdens are reported under §§761.80(e) and 

(i). See number 34.

3 §761.30(a)(1)(vi)

(A)(1), (xv)(D)

Register PCB Transformers, as appropriate, 

within 30 days of discovery.

1 hour 318 PCB 

Transformers

Only requirements for new disclosures are 

now applicable. The revised number of 

disclosures was based on an average of the 

number of PCB Transformers Registered in 

2007 and 2008. 

4 §§761.30(a)(2) 

(v)(C) and 

.30(h)(2)(v)(C)

Obtain EPA approval to use alternate 

method to reclassify PCB equipment.

20 hours 0 requests The number of respondents decreased from 

38, based on requests received by the Agency 

over the past few years. 
TABLE 6-2, continued

REPORTING BURDENS UNDER TSCA SECTION 6(e): ICR 1446.09, SECTION 6(a)

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77

Ref. 

#

Regulatory 

Section(s) Collection Requirement Time Estimate

Total # 

Respondents

Per Year Comments

5 §761.30(i)(1)(iii)

(A)(1) and (C)

Submit a description of a natural gas pipeline 

system that contains >50 ppm PCBs, and/or

make available documentation of data and 

actions to comply with use authorization if 

requested by EPA.

4 hours 50 systems The number of respondents has been increased 

to account for anticipated data requests under 

.30(i)(1)(iii)(C) that were not previously 

estimated. The time estimate has been 

averaged to account for the lesser technical 

and managerial burden associated with (C) 

data requests.

6 §761.30(t)(3) Obtain approval for the use of PCBs in other 

gas or liquid systems.

20 hours 0 No respondents anticipated.
TABLE 6-2, continued

REPORTING BURDENS UNDER TSCA SECTION 6(e): ICR 1446.09, SECTION 6(a)

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78

Ref. 

#

Regulatory 

Section(s) Collection Requirement Time Estimate

Total # 

Respondents

Per Year Comments

7 §761.35(b) Obtain approval for PCB Articles stored for 

reuse for >5 years in a facility that does not 

comply with §761.65(b).

0.166 hour (10 

minutes per 

piece of 

equipment)

225 The approval for the latest 5-year storage 

period ends in 2013. The 10-minute time 

estimate is based on public comment and 

EPA’s review of submissions during the 

previous reporting period. EPA’s review of 

submissions during the previous reporting 

period also indicated that EPA granted 

approximately 3 waivers per year. EPA 

estimates that each request will cover 

approximately 75 items3. 

 

3 75 items is based on the average number of items from the previous ICR
TABLE 6-2, continued

REPORTING BURDENS UNDER TSCA SECTION 6(e): ICR 1446.09, SECTION 6(a)

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79

Subpart D—Storage and Disposal

8 §§761.60(e) and 

(i)(2); .70(a), (b), 

and (d); .75(b) 

(7), (b)(8)(ii), 

and (c)

Submit permit application and, when 

applicable, a demo plan for obtaining 

approval to operate a PCB disposal facility 

(i.e., alternative method of disposal, 

incinerator, chemical waste landfill). Submit 

requests for approval of R&D for PCB 

disposal for persons not following selfimplementing requirements. 

40 applications per year, as follows: 5 new incinerator applications (3,000 hrs to 

prepare); 15 applications for incinerator modifications and 15 new permit and 

modification applications for non-thermal (alternate and landfill) facilities (700 

hrs to prepare); 15 renewal letters for all technologies, without modifications (8 

hours to prepare). Total number of applicants remains the same, based on the 

number of applications submitted to the Regions and EPA Headquarters over the 

past few years.

Revised weighted average burden is about 900 hours per submission, decreased 

from 990 hours, based on a higher percentage of renewal applications compared 

to new applications. [(3,000 x 5) + (700 x 30) + (8 x 15)]/40.

9 §761.60(j)(1)(i) Notify EPA to obtain an identification 

number for conducting R&D on PCB 

disposal activities.

1.5 hours 5 facilities The estimated total number of respondents 

remains the same, based on the number of 

notifications the Agency has received over the 

past few years.

10 §761.60(j)(1)(ii) Notify EPA (as well as state, and local) 

officials prior to conducting R&D on PCB 

disposal activities.

6 hours 10 facilities Burden reported here for both EPA and thirdparty notification at Table 6-3. Estimated total 

number of respondents remained the same, 

based on the number of notifications the 

Agency has received over the past few years.

11 §761.60(j)(2) Submit permit application and, when 

applicable, a demo plan for obtaining 

approval to operate a PCB disposal facility 

(i.e., alternative method of disposal, 

incinerator, chemical waste landfill). Submit 

requests for approval of R&D for PCB 

disposal for persons not following selfimplementing requirements, as per paragraph 

(j) of this section. 

20 hours 0 No respondents anticipated. 
TABLE 6-2, continued

REPORTING BURDENS UNDER TSCA SECTION 6(e): ICR 1446.09, SECTION 6(a)

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80

12 §§761.61(a)(3)(i) 

and (ii). 

Notify EPA (as well as state, tribal, and 

local) officials of self-implementing 

remediation activity, including a summary of 

the procedures used to sample contaminated 

areas and sample collection and analysis 

data; submit additional information as 

requested; and certify that records of 

remediation activity are on file at the 

location designated in the certificate.

100 hours 58 sites Number of respondents stayed the same, based 

on the number of notifications received by the 

Agency over the past few years. Burden is 

reported here for this requirement and is listed 

on Table 6-3.

13 §761.61(a)(3)(ii) Notify EPA of changes to notification of 

self-implementing activities.

2 hours 13 sites Number of respondents stayed the same based 

on the number of notifications the Agency has 

received over the past few years. The hourly 

estimate is based on the time estimate to 

prepare other notifications for the selfimplementing remediation requirements.

14 §761.61(a)(3)(iii) Request a waiver of the notification 

requirement for conducting cleanup of PCB 

remediation waste.

20 hours 17 sites Number of respondents stayed the same based 

on number of notifications the Agency 

received over the past few years.

15 §761.61(a)(8)(i)

(B)

Submit certification of recording the deed 

notation required under paragraph 

(a)(8)(i)(A) of this section has been 

recorded. 

4 hours 28 sites Number of sites stayed the same based on the 

number of notices the Agency has received in 

the past few years.

16 §761.61(c)(1) Apply for risk-based disposal of PCB 

remediation wastes. Submit additional 

information as requested.

1,600 hours 17 Number of respondents stayed the same based 

on the number of applications the Agency has 

received in the past few years.

17 §761.62(c)(1) Obtain approval for risk-based disposal or 

storage of PCB bulk product waste. Provide 

additional information.

1,600 hours 20 Number of respondents stayed the same based 

on the number of applications the Agency has 

received in the past few years.
TABLE 6-2, continued

REPORTING BURDENS UNDER TSCA SECTION 6(e): ICR 1446.09, SECTION 6(a)

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81

18 §761.65(a)(2) Notify of continuing attempts to secure 

disposal and to request a 1-year storage 

extension.

3 hours 5 waste 

storers

Combined for numbers 18, 19, and 20. 

Estimated total notifications stayed the same, 

based on number of notifications the Agency 

has received in the past few years.

19 §761.65(a)(3) Submit request for additional extensions 

beyond the initial 1-year extension, 

including justification and information on 

measures taken to secure disposal.

— — See #18, above.

20 §761.65(a)(4) Submit request for modifications to TSCA 

approval to allow for extended storage 

period.

— — See # 18, above.

21 §761.65(c)(6)(i)

(C)

Demonstrate that other containers for storage 

of PCB/radioactive wastes are protective of 

health and the environment.

40 hours 5 Number of demonstrations remained the same, 

based on the number conducted over the past 

few years.

22 §761.65(d); 

(e)(1), (6), and 

(8); and (f)

Prepare application for commercial storage 

approval, including qualifications of key 

employees, closure plan, and closure cost 

estimate. Commercial storer must also 

notify EPA of facility modification, closure 

schedule, and completion of closure 

activities.

240 hours 12 new; 13 

renewal 

applications

Number of new applications stayed the same 

based on the number the Agency has received 

in the past few years. The weighted average 

to prepare new and renewal application is 240 

hours [(392 hrs x 12 new) + (100 hrs x 13 

renewal)]/25. Time to prepare notification of 

modification was estimated to be about onefourth the time to prepare initial application. 

(Also see # 25.)

23 §761.65(e)(4) Submit a written request to the EPA Regional 

Administrator to modify a storage approval to 

amend the closure plan, when there are 

changes in ownership, changes in expected 

dates of closure, and/or unexpected events.

2 hours 10 times Number of requests stayed the same based on 

the number the Agency has received in the 

past few years.
TABLE 6-2, continued

REPORTING BURDENS UNDER TSCA SECTION 6(e): ICR 1446.09, SECTION 6(a)

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82

24 §761.65(g)(9) Notify issuing authority of modifications to 

commercial storage facilities.

2 hours 7 storage 

facilities

Number of notifications stayed the same based 

on the number the Agency has received in the 

past few years.

25 §§761.65(j) Demonstrate that a new owner of a 

commercial storage facility has established 

financial assurance for closure. Submit new 

or amended commercial storage application 

as a result of change in ownership.

120 hours 12 

applications

Total number of respondents is consistent with 

the total number of applications for 

commercial storage approval, as per # 22, 

above. Number of notifications stayed the 

same based on the number of applications the 

Agency has received in the past few years.

26 §§761.70(a)(8), 

(9); and (d)(5)

Obtain approval of alternate measures when 

regulatory requirements cannot be met for 

operating a PCB incinerator.

1,910 hours 0 No respondents anticipated. It was assumed 

that if a facility does not meet the performance 

criteria, it will not accept PCB waste. 

27 §§761.70(d)(8);

761.75(c)(7)

Notify EPA of change in ownership of 

disposal facility (i.e., for incinerators and 

landfills).

8 hours 5 facilities Note that the hourly estimate includes only a 

cursory review of the existing permits by the 

new owner, not a thorough review. Number 

of notifications remained the same, based on 

the number of notifications the Agency has 

received over the past few years. 

28 §§761.71(a)(2)

and (b)(2)

Notify EPA prior to initial use of a high 

efficiency boiler to burn mineral oil 

dielectric fluid. Seek approval to burn 

liquids, other than mineral oil dielectric fluid 

in a HEB.

1.5 hours to 

notify EPA of 

HEB 

information; 40 

hours to 

prepare 

approval

request letter to 

the RA

0

respondents

The number of notifications and approvals 

remained the same, based on the number EPA 

has received in the past few years. Also see # 

44.
TABLE 6-2, continued

REPORTING BURDENS UNDER TSCA SECTION 6(e): ICR 1446.09, SECTION 6(a)

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83

29 §761.72(c)(2) Notify EPA as a scrap metal recovery oven 

or smelter used to dispose of PCBs and 

comply with the reporting requirements of 

Subparts J and K. 

1.5 hours 0 No requests anticipated. Also see # 44.

30 §761.72(c)(3) Request approval to dispose of PCBs in an 

oven or smelter based on site-specific risk 

assessments, in lieu of meeting requirements 

listed in §761.72.

1,600 hours 0 No requests anticipated.

31 §§761.77(a)(1)(i)

, (a)(1)(ii)(A)(1) 

and (C), and 

.77(a)(2)

Submit a notification to the EPA Regional 

Administrator for coordinated approval and 

additional information, as requested by EPA. 

Submit an application for TSCA disposal 

approval, if the Regional Administrator

denies the request for a coordinated approval 

or determines that the conditions of the 

coordinated approval are not being met. 

36 hours 

(notification); 

480 hours 

(approval 

application)

6 

notifications;

0 approval 

applications

Number of notifications remained the same, 

based on notifications the Agency has 

received in the past few years.

32 §761.77(a)(3) Notify EPA of changes in waste 

management requirements in the non-TSCA 

waste management document used to obtain 

TSCA PCB coordinated approvals.

8 hours 0 waste 

disposers

No notifications were submitted in the past 

few years.

33 §761.79(h) Prepare requests for decontamination 

approvals of alternative decontamination or 

sampling methods. EPA may request 

additional information.

1,600 hours 20 Number of notifications remained the same. 
TABLE 6-2, continued

REPORTING BURDENS UNDER TSCA SECTION 6(e): ICR 1446.09, SECTION 6(a)

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84

Subpart E—Exemptions

34 §§761.80(e)(1) 

and (i)(1)

Submit R&D exemption petition to qualify 

for the class exemptions to mfg. PCBs for 

disposal R&D and to mfg., import, process, 

distribute, and export PCBs and analytical 

reference samples derived from PCB waste 

for the purpose of R&D.

40 hours 1 company Number of respondents is based on recent 

Agency submissions. Estimates are combined 

for numbers 2, 34, 36, and 38.

35 §761.80(e)(2) 

and (i)(2)

Submit requests for renewal of the 

exemptions as per §§750.11 and 31. 

(Renewals to company-specific exemptions 

can be handled following the same 

procedures.) 

1 hour 1 request Number of respondents is based on recent 

Agency requests.

36 §§761.80(e)(3), 

(g)(2), and (i)(4)

Obtain approval from EPA to exceed limits 

of the exemption.

— 0 requests for 

approval

See # 34, above.

37 §761.80(e)(4) Notify EPA before beginning R&D activities 

that include the manufacture of PCBs.

20 hours 1 notification Number of respondents is based on recent 

Agency submissions.

38 §761.80(n) Submit a petition for certain exemptions to 

address increases in the amount of PCBs to 

be processed and distributed, imported 

(manufactured), or exported, or changes in 

the manner of processing and distributing, 

importing (manufacturing), or exporting 

PCBs. (See #35 for renewals.)

40 hours 0 requests There have been no such requests in the past 

several years. Total captured in Item # 34.
TABLE 6-2, continued

REPORTING BURDENS UNDER TSCA SECTION 6(e): ICR 1446.09, SECTION 6(a)

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85

Subpart F—Transboundary Shipments of PCBs for Disposal

39 §§761.93(a) and 

.97(a)

Submit an exemption petition to import or 

export PCBs or PCB Items for disposal.

___ ___ Burden is reported at §§761.20(b) and (c)(1) 

and (3). See # 34.

Subpart G—PCB Spill Cleanup Policy

40 §§761.125(a)(1)

(i) to (iii)

Report certain spills of PCBs to the EPA. 0.167 hours 

(10 minutes)

100 calls Number of calls remained the same, based on 

the amount the Agency received in the past 

few years. Requirement also on Table 6-3.

Subpart J—General Records and Reports

41 §§761.180(b), 

(b)(3), and (c)(5)

Submit annual reports for the operation of 

PCB incinerators, chemical waste landfills, 

high efficiency boilers, and commercial 

storage facilities, including facilities that 

dispose of the PCB wastes they generate. 

Report suspension of operations.

59 hours 131 facilities The estimate for number of facilities was 

generated by using the total number of EPAapproved storage and disposal facilities (114), 

and increasing this number by 15 percent to 

reflect the additional facilities that also 

dispose of the waste that they generate (U.S. 

EPA, 2010a, 2010b and 2010c). 
TABLE 6-2, continued

REPORTING BURDENS UNDER TSCA SECTION 6(e): ICR 1446.09, SECTION 6(a)

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86

41a §761.180(g) Provide records of PCB equipment 

reclassification, if requested, by EPA.

0.25 hours 45 

Transformers

Industry representatives indicated that only the 

very large, expensive transformers would 

likely be reclassified and only an insignificant 

number of voltage regulators, electromagnets, 

and switches would be reclassified (Davis, 

2003; U.S. EPA, 2003). Thus, this ICR deals 

only with estimating the burden associated 

with the reporting requirements for 

Transformers. EPA estimates that 58,457 

PCB Transformers remain at the end of 2006 

(U.S. EPA, 2004b; U.S. EPA, 2006).

Assuming that 1.15% will be retrofilled and 

reclassified (U.S. EPA, 2004b,) the Agency 

estimates approximately 672 units may be 

reclassified during this ICR period. Of this 

total, Regional PCB Coordinators estimate 

requesting 45 records per year. (See numbers 

74c and d). The hourly estimate assumes it 

takes 15 minutes for equipment owners to 

provide requested records (ERG, 2000). 

42 §761.185 Notify EPA and certify low level PCB 

product contamination to be exempt from the 

requirements of Subpart B, regarding 

processes inadvertently generating PCBs and 

imports of products containing inadvertently 

generated PCBs. Certification must be 

repeated if the previous certification is no 

longer valid.

20 hours 0 companies Submissions will report about new, modified, 

or import activities or about excess releases. 

The Agency received one submission in 2006 

and no submissions in 2007, 2008, and 2009. 

The number of submissions is declined

because companies with exclusions have 

identified themselves in the initial group of 

submissions.

43 §761.187 Notify EPA when PCB releases exceed 

limits, to be exempt from the requirements 

of Subpart B, for products, manufactured or 

imported containing inadvertently generated 

PCBs.

20 hours 0 company Number of notifications remained the same, 

based on the number received by the Agency 

in the past few years. Hourly estimate is based 

on time to review the monitoring log and 

compile information into the notification.
TABLE 6-2, continued

REPORTING BURDENS UNDER TSCA SECTION 6(e): ICR 1446.09, SECTION 6(a)

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87

Subpart K—PCB Waste Disposal Records and Reports

44 §§761.202(a); 

205(a) to (c)

Notify EPA of waste handling activities, for 

generators, commercial storers, transporters, 

or disposers of PCB waste.

1.5 hours 100 waste 

handlers

Roughly 8,100 notices have been received; in 

recent years approximately 100 per year, 

relatively few “new” submissions are 

anticipated. Also see numbers 9, 28, and 29, 

above.

45 §761.205(f) Report changes in notifications previously 

submitted by PCB waste handlers.

1.5 hours 200 waste 

handlers

—

46 §761.208(a)(4)

and 

§§761.215(b) to 

(d).

Submit Exception Reports to EPA, as 

specified in §761.215(b) to (d), when PCB 

waste generators, disposers, and/or 

commercial storers do not receive 

confirmation that a shipment of a PCB waste 

has been properly disposed of.

2 hours 325 reports Number of reports remained the same, based 

on the amount the Agency has received 

annually in the past few years. Combined for 

numbers 46 and 47.

47 §761.210(b) Submit Discrepancy Reports along with a 

copy of the manifest to EPA when the PCB 

waste received by a disposer is significantly 

different from the description on the 

manifest, and the discrepancy is not resolved 

after receiving the waste. 

— — See # 46, above.

48 §761.211(b) Notify EPA Regional Administrator of 

unmanifested PCB waste, for 

owners/operators of commercial storage 

facilities who cannot contact the generator of 

the PCB waste.

0.5 hours 17 

notifications

Number of notifications stayed the same based 

on the number the Agency has received in the 

past few years.
TABLE 6-2, continued

REPORTING BURDENS UNDER TSCA SECTION 6(e): ICR 1446.09, SECTION 6(a)

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88

49 §761.211(c) Submit unmanifested Waste Reports (e.g., 

waste description, volume, disposition; date 

received; ID numbers of waste handlers for 

that waste) to EPA when disposers accept a 

shipment of PCB waste without an 

accompanying manifest.

2 hours 57 reports Number of reports stayed the same based on 

the number the Agency has received annually 

in the past few years. 

Subpart T—Comparison Study for Validating a New Performance-Based Decontamination Solvent under §761.79(d)(4)

50 §§761.395 and 

761.398

Submit results of analysis and validation 

study to the Director, National Program 

Chemicals Division (NPCD).

16 hours 5 studies Estimate for the total number of respondents is 

5 percent of the estimated 100 

decontamination sites. Also refer to # 93, 

Table 6-4. 
--

89

TABLE 6-3

THIRD-PARTY REPORTING BURDENS UNDER TSCA SECTION 6(e): ICR 1446.09, SECTION 6(a)

Ref. 

#

Regulatory 

Section(s) Collection Requirement Time Estimate

Total # 

Respondents

Per Year Comments

40 CFR 761

Subpart B—Use

51 §§761.20(e)(3)(ii)

; .30(i)(5)(ii); and 

.60(b)(5)(iv)(B)

Burner of used oil must provide a 1-time 

certification to the marketer that he is in 

compliance with notification requirement at 

§761.71(a)(2).

1 hour — No respondents anticipated. 

52 §§761.30(a)(1)(xi) 

and (xv)(A); .30 

(h)(1)(ii)(B)

Report PCB Transformers and Voltage 

Regulator fire incidents to the National 

Response Center.

0.167 hour (10 

minutes)

22 calls National Response Center data for 2009

indicate the Center received a total of 200

PCB-related calls (U.S. Coast Guard, 2009). 

An overview of these data indicates that a 

number of calls were to report transformer 

fire incidents. It will be assumed for this ICR 

that 10 percent of all calls (22 calls) are to 

report fire-related incidents.

53 §761.30(a)(1)

(xiv)

Notify owner of PCB Transformer that 

equipment may pose risk of exposure to food 

or feed.

— — No burden. All notifications were to have 

been made by October 1, 1985, although 

notification could occur if a mineral oil 

transformer in a location near food or feed is 

discovered to contain ≥500 ppm PCBs.

54 §761.30(a)(1)(xv)

(D)

Register PCB Transformers with the 

building owner within 30 days of discovery

— — Burden reported on Table 6-1.

Subpart D—Storage and Disposal
TABLE 6-3, continued

THIRD-PARTY REPORTING BURDENS UNDER TSCA SECTION 6(e): ICR 1446.09, SECTION 6(a)

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90

Ref. 

#

Regulatory 

Section(s) Collection Requirement Time Estimate

Total # 

Respondents

Per Year Comments

55 §761.60(a)(3)(ii) Provide information to chemical waste 

landfills that liquids do not exceed 500 ppm 

and are not ignitable.

20 hours — No respondents anticipated.

56 §761.60(b)(5)(i)

(A)(1)

Include abandoned natural gas pipes that 

contain PCBs in public service notification 

programs. 

0.25 hour (15 

minutes)

50 pipes Industry representative indicated no change 

to this element (Lacey, 2003).

57 §761.60(f)(1)(i) Provide state and local officials with 

notification prior to first use of an approved 

chemical waste landfill, incinerator, or 

alternate PCB disposal technology.

0.50 hour (30 

minutes). 

600 

notifications

Since cleanup activities remain the same, the 

estimates for the use of mobile equipment at 

300 unique sites remains the same, and will 

be used as follows: 200 substations per year 

will use mobile equipment to clean PCB 

transformers; about 50 remediation sites will 

use solvent extraction units; 5 sites will use 

mobile incinerators, vitrification units, or 

physical separation units, and 45 sites will 

use other existing or newly permitted 

equipment.

58 §761.60(f)(1)(ii) Provide annual notice of the quantities and 

description of the PCBs disposed of to state 

or local governments, at their request.

0.5 hour — Since the annual reporting requirement to 

state/local governments would be initiated at 

the state or local government level, EPA has 

no way of estimating this total burden. 

59 §761.60(j)(1)(ii) Notify state and local officials (as well as 

EPA) of PCB R&D disposal activities.

— — Total burden for EPA and third-party 

reporting requirements are reported on Table 

6-1.
TABLE 6-3, continued

THIRD-PARTY REPORTING BURDENS UNDER TSCA SECTION 6(e): ICR 1446.09, SECTION 6(a)

--

91

Ref. 

#

Regulatory 

Section(s) Collection Requirement Time Estimate

Total # 

Respondents

Per Year Comments

60 §761.60(j)(1)(vii) Use manifests, pursuant to Subpart K, for all 

R&D PCB wastes being transported from the 

R&D facility to an approved PCB storage or 

disposal facility.

1 hour 48 facilities Estimate is based on one shipment per year 

for each facility. Total number of R&D 

facilities is listed on the Notification of PCB 

Activity Quarterly Reports (U.S. EPA, 

2010a). 

61 §§761.61(a)(3)(i) Notify state and local officials (as well as 

EPA) of self-implementing remediation 

activity.

— — Total burden for EPA and third-party 

reporting requirements is reported on Table 

6-1. 

62 §761.61(a)(5)(i)

(B)(2)(iv)

Notify offsite non-TSCA facility of pending 

shipment of remediation waste.

2 hours 100 waste 

shippers

Combined for remediation and bulk product 

wastes (numbers 62 and 64).

63 §761.61(a)(8)(i)

(A)

Attach a notation to the deed for property at 

which remediation projects require a 

permanent fence or cap.

3 hours 100 sites —

64 §§761.62(b)(4)(i) 

and (ii) (See also

§§761.357 and

359)

Provide notification to a receiving facility 

that does not have a commercial PCB 

storage or disposal approval before the first 

shipment of a PCB bulk product waste 

stream. In addition, for certain waste this 

notice must be provided with each shipment 

thereafter.

— — See # 62, above.
TABLE 6-3, continued

THIRD-PARTY REPORTING BURDENS UNDER TSCA SECTION 6(e): ICR 1446.09, SECTION 6(a)

--

92

Ref. 

#

Regulatory 

Section(s) Collection Requirement Time Estimate

Total # 

Respondents

Per Year Comments

65 §§761.65(c)(1)

and (8)

Attach a notation to a PCB item or PCB 

container containing the item indicating the 

date the item was removed from service for 

disposal, to be able to temporarily store the 

item/container in an area that does not 

comply with the storage requirements of 

paragraph (b) of this section. 

0.083 hours 

(5 minutes)

93,120

items,

containers,

and article

containers

The number of items, containers, and article 

containers is based on extensive analysis 

conducted for the Draft Analysis of the Cost 

Impacts of the Potential Amendments to the 

PCB Regulations at 40 CFR Part 761 (U.S. 

EPA, 2003). This report indicates that 

582,000 units that contain PCBs are removed 

from service for disposal each year (including 

PCB transformers, large capacitors, small 

capacitors, and voltage regulators, as well as 

circuit breakers, reclosers, rectifiers, 

switches, electromagnets, and cables) and 

that 8 percent of these units contain ≥500 

ppm PCBs (46,560 PCB Items). There will 

be as many PCB containers and article 

containers as articles, making the total 

number of PCB items 93,120. For example, 

there may be instances where contaminated 

soil from one PCB article spill may fill 50 

containers or that the oil drained from one 

PCB transformer fills 4 containers. The 

estimate captures that some articles will be 

combined into one container.

The time estimate for these requirements 

considers that all items must be dated when 

removed from service for disposal, whether 

or not the item will be placed in temporary 

storage or not. 
TABLE 6-3, continued

THIRD-PARTY REPORTING BURDENS UNDER TSCA SECTION 6(e): ICR 1446.09, SECTION 6(a)

--

93

Ref. 

#

Regulatory 

Section(s) Collection Requirement Time Estimate

Total # 

Respondents

Per Year Comments

66 §761.65(i)(3) Send information regarding the sample 

collector, the lab, date of shipment, quantity, 

and description of sample, when sending 

PCB samples to a laboratory for testing. 

4 hours — Since EPA has no way of estimating the 

number of samples that would be sent off-site 

annually for testing, or the frequency with 

which the samples are sent to an off-site lab, 

EPA cannot estimate the total annual burden 

associated with this requirement. 

Subpart G—PCB Spill Cleanup Policy

67 §761.125(a)(1) Report certain spills of PCBs to the National 

Response Center. 

0.167 hours (10 

minutes)

223

incidences

New average based on the number of PCBrelated incidences reported to the National 

Response Center for 2009 (U.S. Coast Guard, 

2009). Related requirement to notify EPA is 

included on Table 6-1.

68 §761.125(c)

(2)(ii)

Place label or notice at PCB contamination 

cleanup sites at outdoor electrical substations 

that involved 1 lb or more PCBs by weight 

(270 gallons or more of untested mineral 

oil).

1 hour 212 sites Revised estimate assumes that the > 1-lb 

spills at electrical substations are a large 

subset but not all of all the spills that must be

reported to the National Response Center; 95 

percent of the average annual 223 spills 

reported for 2009 (U.S. Coast Guard, 2009). 

The capital costs for placing the sign is 

assumed to be $50 per site (e.g., for posts, 

labels, etc.), for a total of $10,600.
TABLE 6-3, continued

THIRD-PARTY REPORTING BURDENS UNDER TSCA SECTION 6(e): ICR 1446.09, SECTION 6(a)

--

94

Ref. 

#

Regulatory 

Section(s) Collection Requirement Time Estimate

Total # 

Respondents

Per Year Comments

Subpart J—General Records and Reports

68a §761.180(g) Provide records of PCB equipment 

reclassification, if requested, by recipients of 

equipment.

0.5 hours 336 units Estimate assumes it takes 5 minutes for a 

manager to approve and delegate each 

request for records and 25 minutes for a clerk 

to copy and send a paper or electronic version 

of each complete record (ERG, 2000). 

EPA estimates that 58,457 PCB Transformers 

remain at the end of 2006 (U.S. EPA 2004b; 

U.S. EPA 2010a). Assuming that 1.15% will

be retrofilled and reclassified (U.S. EPA 

2004b,) the Agency estimates approximately 

672 units of reclassified equipment during 

this ICR period. Of this amount, 50 percent 

will be retained by owners (336), and 50 

percent will be transferred to other entities

(e.g., sold, loaned, leased, sent for servicing).
TABLE 6-3, continued

THIRD-PARTY REPORTING BURDENS UNDER TSCA SECTION 6(e): ICR 1446.09, SECTION 6(a)

--

95

Ref. 

#

Regulatory 

Section(s) Collection Requirement Time Estimate

Total # 

Respondents

Per Year Comments

Subpart K—PCB Waste Disposal Records and Reports

69 §§761.207(a) and 

208(a)(2) and (3)

Prepare manifests and provide generatorinitiated manifests of PCB waste to each 

transporter or designated commercial storage 

or disposal facility.

0.083 (5 

minutes) 

average

61,074 items According to a compilation of the PCB 

Annual Reports, from 1998 to 2008, an 

annual average of 61,074 items (PCB 

capacitors, article containers, transformers, 

and PCB containers) were transferred to 

another facility (e.g., a storer or disposer) 

(U.S. EPA, 2008). Each item or container of 

items or waste transported from a generator 

either to a storer or disposer requires 

information included on a manifest. To 

compile the original information for the first 

manifest that accompanies a piece of 

equipment or container would take about 10 

minutes per item (0.167 hours). It would take 

less time per item for storers to include 

information on a manifest (to send to a 

disposer) because the information is already 

available. Thus it will be assumed that the 

time to include information on a manifest per 

item would average 5 minutes per item 

(0.083 hours). Refer to numbers 101 and 

102.
TABLE 6-3, continued

THIRD-PARTY REPORTING BURDENS UNDER TSCA SECTION 6(e): ICR 1446.09, SECTION 6(a)

--

96

Ref. 

#

Regulatory 

Section(s) Collection Requirement Time Estimate

Total # 

Respondents

Per Year Comments

70 §§761.208(c)(1)(i

v) and (c)(2)(iv)

Storer or disposer sends a copy of the 

manifest or shipping paper to the generator.

0.167 hours (10 

minutes)

3,054 reports The manifest information is already prepared 

at this point with a number of items contained 

on the manifest or shipping paper. A 

shipment can contain from 1 item (such as a 

large 20-ft x 20-ft transformer) to about 40 

drums that contain PCB articles or bulk waste 

(Orton, 2003), with each item or drum 

requiring a unique recordkeeping number. It 

will be assumed for this report that the 

average number of items on a manifest is 20, 

so that of the 61,074 Items transferred, only 

3,054 manifests or shipping papers need to be 

returned. Refer to # 101 and 102.
TABLE 6-3, continued

THIRD-PARTY REPORTING BURDENS UNDER TSCA SECTION 6(e): ICR 1446.09, SECTION 6(a)

--

97

Ref. 

#

Regulatory 

Section(s) Collection Requirement Time Estimate

Total # 

Respondents

Per Year Comments

71 §§761.218(a) and 

(b)

Send certificates of disposal to generators of 

PCB waste when disposal of each item is 

complete for a manifested PCB waste 

shipment. 

0.25 hour (15 

minutes) 

average

4,022

certificates

Based on the PCB Annual Report, the 

average annual total number of capacitors, 

Article containers, transformers, and PCB 

containers disposed of from 1996 to 2008 is 

80,437 (U.S. EPA, 2008). Assuming that 

information regarding 20 items is included on 

one certificate of disposal, then there are a 

total of 4,022 certificates. This number is 

similar to the total reports in Item # 70, but 

assumes that the information on the 

certificates is not necessarily the same as the 

items sent to the disposers by storers (i.e., 

some shipments could have included items 

from various generators, thus, this 

information could not be sent on the same 

certificate, although it is based on the 

information from the manifest or shipping 

paper). Even when a facility must input data 

for each item, most of the required 

information is readily available for a majority 

of cases. Also refer to # 101 and 102.
-98-

TABLE 6-4

RECORDKEEPING BURDENS UNDER TSCA SECTION 6(e): ICR 1446.09, SECTION 6(a)

Ref. 

#

Regulatory 

Section(s) Collection Requirement Time Estimate

Total #

Respondents

Per Year Comments 

40 CFR 761

Subpart A—General

72 §§761.1(f) Comply with recordkeeping requirements of 

Subpart J [§§761.185(c)(2) and (d), and 

.193] as a condition of the exclusion from 

the PCB bans, for persons who inadvertently 

manufacture or import PCBs generated as 

unintentional impurities in excluded 

manufacturing processes or generate PCBs 

in excluded manufacturing process or 

products with recycled PCBs. 

— — Burden is reported at §§761.185(c)(2) and (d), 

and .193(a). See # 100.

Subpart B—Manufacturing, Processing, Distribution in Commerce, and Use of PCBs and PCB Items

73 §§761.20(e)(4)(i) 

and (ii); .30(i)(5) 

(ii); and .60(b)(5) 

(iv)(B)

Marketer who first claims used oil does not 

contain detectable PCBs must retain records 

supporting the claim and a copy of each 

certification notice received or prepared 

relating to transactions involving PCBcontaining used oil. Burners must include 

among the records a copy of each 

certification notice that has been provided to 

a marketer of PCB-containing used oil.

0.25 hours (15 

minutes)

— No significant burden anticipated.
TABLE 6-4, continued

RECORDKEEPING BURDENS UNDER TSCA SECTION 6(e): ICR 1446.09, SECTION 6(a)

--

99

Ref. 

#

Regulatory 

Section(s) Collection Requirement Time Estimate

Total #

Respondents

Per Year Comments 

74a,

b

§§761.30(a)(1) 

(xii) and (xiv)

Maintain records of inspection and 

maintenance history for at least 3 years after 

the disposal of a PCB transformer, including 

records of registration, as per 

§761.30(a)(1)(vi)(C).

0.05 hour (3 

minutes) to 

track 

inspection 

data; 0.033 (2 

minutes) to file 

and maintain 

data

58,457 PCB

transformers

50 percent

(29,229) are

inspected

annually and

50 percent 

are inspected

quarterly

Revised estimate represents the approximately 

58,457 PCB transformers estimated to be in 

existence during the clearance period of this ICR 

(U.S. EPA, 2004, U.S. EPA, 2005b). Time 

estimate remains the same and reflects the 

average time for a technician to track the data (3 

minutes) and for a clerk to file and maintain the 

data (2 minutes). This report does not account 

for actual inspection time. The calculations for 

this estimate account for the differences in 

burden between annual and quarterly 

inspections. It is assumed that the time to 

maintain records for the disposed transformers is 

insignificant.

74c,

d

§§761.30(a)(1)

(xii) and (xiv)

Maintain records of inspection and 

maintenance history for at least 3 years after 

the disposal of a PCB transformer, including 

records of registration, as per 

§761.30(a)(1)(vi)(C). Accounts for the 

reduced number of transformers that will be 

subject to this requirement based on the 

implementation of the Reclassification Rule, 

§§761.30(a)(2)(v) and (vi).

0.05 hour (3

minutes) to 

track

inspection 

data; 

0.033 (2 

minutes)

to file and

maintain data

-672 PCB 

transformers; 

50 percent

(-336) are

inspected

annually and

50 percent 

are

inspected

quarterly

An estimated 672 PCB transformers will be 

reclassified each year during this reporting 

period (see #41a). 

The Reclassification Rule (see #75a and b), 

reduces the total number of transformers subject 

to the inspection recordkeeping requirement. 

Using the same calculation method as indicated 

above for #74 a and b, this requirement shows 

the estimated savings for the reduced number of 

transformers that will be subject to this 

requirement. 
TABLE 6-4, continued

RECORDKEEPING BURDENS UNDER TSCA SECTION 6(e): ICR 1446.09, SECTION 6(a)

--

100

Ref. 

#

Regulatory 

Section(s) Collection Requirement Time Estimate

Total #

Respondents

Per Year Comments 

75 §§761.30(a)(2)(v)

(C) and (D); 

761.30(h)(2)(vi)

(C) and (D); and 

761.180(a) 

Maintain records at the facility where 

electrical transformers, voltage regulators, 

electromagnets, and switches have been 

reclassified to a lower PCB concentration.

0.25 (15 

minutes)

672 

transformers

Refer to #41a for an explanation of the number 

of transformers reclassified each year. It is 

assumed that the burden associated with 

reclassified equipment other than transformers 

will be insignificant. It was also assumed that it 

will take 15 minutes to maintain the records on 

pre-and post reclassification concentration of the 

transformer (EPA, 2000). 

76 §§761.30(i)(1)

(iii)(B) and (C)

Keep records on certain natural gas pipeline 

systems with ≥50 ppm PCBs and records of 

actions taken to reduce PCB contamination 

for 3 years after PCBs reduced to <50 ppm.

4 hours 100 systems It is not anticipated that new records will need to 

be developed; historical data can be used.

77 §761.35(a)(2) Keep records of equipment stored for reuse. 0.15 hour 170,303

pieces of 

equipment

Total pieces of equipment that require 

recordkeeping is based on information reported 

in the cost analysis for the Final Rule, which was 

reviewed to generate the Draft Analysis of the 

Cost Impacts of the Potential Amendments to the 

PCB Regulations at 40 CFR Part 761 (U.S. 

EPA, 2003). It was reported in the cost analysis 

that equipment owners will store 182,700 PCB 

articles for <5 years in areas that do not comply 

with §761.35(b) and 6,525 PCB articles for >5 

years, with compliance with recordkeeping and 

reporting requirements, for a total of 189,225

pieces of equipment for this requirement. 

However, based on recent experience the number 

of pieces of equipment is approximately 10% 

less, or about 170,303.
TABLE 6-4, continued

RECORDKEEPING BURDENS UNDER TSCA SECTION 6(e): ICR 1446.09, SECTION 6(a)

--

101

Ref. 

#

Regulatory 

Section(s) Collection Requirement Time Estimate

Total #

Respondents

Per Year Comments 

Subpart C—Marking of PCBs and PCB Items

78 §761.40(c)(2)(ii) 

and (k)

Keep records of the protected location of 

PCB large capacitors where owner chooses 

not to mark individually (optional). 

0.1 hour (6 

minutes)

100,000 

pieces of 

equipment

Based on analysis contained in the Draft 

Analysis of the Cost Impacts of the Potential 

Amendments to the PCB Regulations at 40 CFR 

Part 761 (U.S. EPA, 2003). 

Subpart D—Storage and Disposal

79 §761.60(j)(1)(ix) Keep records of R&D for disposal activities. 12 hours 48 facilities Number of facilities based on data contained in 

the Notification of PCB Activity Quarterly 

Reports (U.S. EPA, 2010a).

80 §§761.61(a)(3)(i)

(E); and (a)(6)

Retain records of the sampling plans, sample 

collection procedures, sample preparation 

procedures, extraction procedures, and 

instrumental/chemical analysis procedures 

used to assess or characterize the PCB 

contamination at the cleanup site, and 

certification that these records are on file at 

the location designated in the certificate. 

Keep records of comparison studies for any 

alternate method used that meet or exceed 

the requirements of §761.326. Keep records 

of sampling and sample analysis to verify 

cleanup and on-site disposal of bulk PCB 

remediation wastes and porous surfaces, as 

per Subpart O, §761.295.

1 hour 100 sites Also see §761.295.
TABLE 6-4, continued

RECORDKEEPING BURDENS UNDER TSCA SECTION 6(e): ICR 1446.09, SECTION 6(a)

--

102

Ref. 

#

Regulatory 

Section(s) Collection Requirement Time Estimate

Total #

Respondents

Per Year Comments 

81 §761.61(a)(3)(iii) Retain original waivers from the selfimplementing remediation requirements 

received from the EPA Regional 

Administrator, state, and local agencies.

0.167 hour (10 

minutes)

100 sites This estimate remained the same.

82 §761.61(a)(9) Keep records in accordance with §761.125 

(c)(5) for (a)(3), (a)(4), and (a)(5) of this 

part.

20 hours 100 sites This estimate remained the same.

83 §761.62(b)(5) Maintain a written record of all sampling and 

analysis of PCBs or notifications made under 

this part and make available upon request.

4 hours 26 sites Estimate is 15 percent of 170 total number of 

affected sites.

84 §§761.65(a)(2)(ii) 

and (a)(3) 

Keep a written record of attempts to secure 

disposal capacity. Records may be required 

for periods of extended storage.

4 hours 76 waste 

storers

Number of waste storers is 1 percent of the total 

number of waste generators and storers (7,648) 

listed in the Notification of PCB Activity 

Quarterly Reports (U.S. EPA, 2010a). 

85a,

b

§761.65(c)(1)(iv) Prepare/modify Spill Prevention, Control 

and Countermeasure (SPCC) Plans to 

address liquid PCBs >500 ppm, to be able to 

temporarily store PCB Containers containing 

liquid PCBs at ≥50 ppm in areas that do not 

comply with the storage requirements of 

§761.65.

60 hours/new 

plan; 2 hours/ 

adapted plan

5 new

respondents; 

10 adapt 

existing 

plans

It is estimated that only 5 waste generation 

facilities will be required to prepare plans from 

scratch and 10 facilities will adapt existing plans.

86 §761.65(c)(7)(ii) Prepare SPCC Plan, when using stationary 

storage containers, as per 29 CFR 1910.106, 

for liquid PCBs.

60 hours 5 facilities It is not foreseen that many facilities will enter 

into the PCB storage business each year.
TABLE 6-4, continued

RECORDKEEPING BURDENS UNDER TSCA SECTION 6(e): ICR 1446.09, SECTION 6(a)

--

103

Ref. 

#

Regulatory 

Section(s) Collection Requirement Time Estimate

Total #

Respondents

Per Year Comments 

87 §761.65(c)(8) Keep records of the quantity and the date of 

each batch added to the stationary storage 

container.

0.083 hours (5 

minutes)

30,000

batches

Number of batches remained the same.

88 §§761.65(c)(10) 

and 761.180

Establish and maintain records as per 

§761.180 for storing for disposal PCBs and 

PCB Items ≥50 ppm.

843 hours 66 

commercial

storers

The total number of storers was obtained from 

EPA’s list of Commercial Storage Approvals 

(U.S. EPA, 2010b). Note: See #99 for generator 

burden, including generators with storage units.

89 §§761.70(a)(3), 

(4) and (7); (c); 

and 761.180(c)

Maintain for incinerators records of 

quantities, feed rates, temperatures, 

combustion products, and operations, and 

special records, as per §761.180(c). 

843 hours 5 

incinerators

From the EPA’s list of Commercially Permitted 

PCB Disposal Companies (U.S. EPA, 2010c).

90 §§761.71(a)(1)(vi) 

and (vii), (a)(4), 

(b)(1)(vi-vii), 

(b)(5);761.180(e)

Record and retain monthly HEB operation 

data.

12 hours 20 HEBs Note that 5 of these HEBs (from EPA Region 

VI) are used intermittently, so that total hourly 

burden may actually be less than indicated in this 

report. Also, total number of HEBs is based on 

EPA estimate of 2 per region.

91 §§761.72(a)(9) 

and (b)(6)

Record and retain records of temperature 

readings from scrap metal recovery ovens.

3 hours 8 ovens From EPA’s list of Commercially Permitted 

Scrap Metal Recovery Ovens (U.S. EPA, 

2010d).

92 §§761.75(b)(6)(iii

) and (b)(8)(iv); 

761.180(d)

Maintain records for all PCB disposal 

operations at chemical waste landfills, 

including PCB concentration in liquid 

wastes, the three-dimensional burial 

coordinates for PCBs and PCB items, water 

sampling and analysis, and additional 

records as required in §761.180. 

843 hours 10 landfills From EPA’s list of Commercially Permitted 

Disposal Companies (U.S. EPA, 2010c).
TABLE 6-4, continued

RECORDKEEPING BURDENS UNDER TSCA SECTION 6(e): ICR 1446.09, SECTION 6(a)

--

104

Ref. 

#

Regulatory 

Section(s) Collection Requirement Time Estimate

Total #

Respondents

Per Year Comments 

93 §761.79(d)(4) and 

Subpart T

Retain test/validation results of PODFs and 

VADFs.

0.5 hour 5 facilities Estimate is 5 percent of the 100 decontamination 

sites.

94 §§761.79(f)(1) 

and (2)

Keep records of confirmatory sampling and 

sampling locations/results for 

decontamination activities and compliance 

with self-implementing decontamination 

procedures.

2 hours 100 sites No change.

Subpart E—Exemptions

95 §761.80(e)(5) and 

(i)(7)

Keep records of activities associated with 

manufacture/processing/distribution in 

commerce of PCBs or PCB reference 

samples derived from waste materials for 

R&D.

12 hours 39 facilities Number of facilities based on the Notification of 

PCB Activity Quarterly Reports (U.S. EPA, 

2010a).

96 §761.80(g)(1) Keep records of PCB processing and 

distribution in commerce activities, for 

facilities that process and distribute small 

quantities of PCBs for R&D.

12 hours 15 facilities Total number of facilities remained unchanged 

based on an Agency review of existing petitions.

Subpart G—PCB Spill Cleanup Policy

97 §§761.125(b)(3) 

and (c)(5); 

.61(a)(9)

Maintain records of cleanup and certification 

of decontamination.

8 hours 223 sets of 

records

Based on the annual number of spills reported to 

the National Response Center in 2009 (U.S. 

Coast Guard, 2009). 
TABLE 6-4, continued

RECORDKEEPING BURDENS UNDER TSCA SECTION 6(e): ICR 1446.09, SECTION 6(a)

--

105

Ref. 

#

Regulatory 

Section(s) Collection Requirement Time Estimate

Total #

Respondents

Per Year Comments 

98 §761.125(c)(1) Maintain records documenting delay in spill 

cleanup activities and areas of visible 

contamination.

0.5 hours 11 sites It is anticipated that 5 percent of the total number 

of spills, as reported above, would face delays in 

cleanup.

Subpart J—General Records and Reports

99 §§761.180(a),(a) 

(4), (b) and (f); 

761.65(c)(5)

Maintain annual records and document log 

for PCBs and PCB items for 5 years after 

facility ceases, including manifests, CDs, 

records of inspections and cleanups, facility 

and item ID information, number of Items, 

phone records, and Item transfer 

information, for owners/operators of storage 

and disposal facilities. Collect and maintain 

documents, correspondence, and data 

pertaining to storage/disposal of PCBs that 

have been provided to as well as received 

from any state/local agency and any 

application/ correspondence submitted to 

permitting authorities.

52 hours 7,534 waste

handlers

The time to keep the annual log varies widely, 

based on the level of PCB activity taking place 

and the volume of PCBs and PCB items handled. 

To keep the annual log takes from 1 hour to over 

40 hours each week. Total number of facilities is 

the total number of PCB waste handlers (7,648) 

minus the total number of commercial storers 

and disposers (114 facilities). (U.S. EPA, 2004a, 

2005a, 2010c, and 2006).
TABLE 6-4, continued

RECORDKEEPING BURDENS UNDER TSCA SECTION 6(e): ICR 1446.09, SECTION 6(a)

--

106

Ref. 

#

Regulatory 

Section(s) Collection Requirement Time Estimate

Total #

Respondents

Per Year Comments 

100 §§761.185(c)(2), 

(d) and .193(a) 

and (b)

Maintain theoretical analysis or monitoring 

records by persons who import, manufacture, 

process, distribute in commerce, or use 

products containing inadvertently generated 

or recycled PCBs, pursuant to §761.1(f)(1) 

to (3). Maintain letter certifying compliance 

with §761.1(f), for excluded manufacturing 

processes.

5 hours to file 

records; 5 

hours to 

maintain 

previous 

reports

35 

respondents

Number of respondents remained the same based 

on recent Agency records.

Subpart K—PCB Waste Disposal Records and Reports

101 §§761.208 and

.209

File and maintain manifests initiated or 

received by the PCB generator and any 

subsequent PCB waste handler.

0.167 hour (10 

minutes)

3,054 

manifests

Total number of manifests is an average of 20 

items per manifest for a total of 61,074 items and 

3,054 manifests. Refer to numbers 69 and 70.

102 §761.218(c) Maintain a copy of each certificate of 

disposal received from disposers, for 

generators and commercial storers of PCB 

waste.

0.167 hour (10 

minutes)

3,054 

certificates

Estimates are based on the estimates used for a 

similar requirement, # 101, above. Refer to 

numbers 69 and 70. 

Subpart T—Comparison Study for Validating a New Performance-Based Decontamination Solvent under §761.79(d)(4)

103 §761.398(c) Record testing parameters and experimental 

conditions in SOP. Results of validation 

study are to be affixed in an appendix.

16 hours 5 facilities No change.
--

107

TABLE 6-5 ANNUAL RESPONDENT HOURLY BURDEN AND COST ESTIMATE - REPORTING

Ref # Regulatory Citation Information Collection Activity

Hours and Costs Per Respondent Total Hours and Costs

Mgr. @ Tech. @ Cler. @ Hours/ Labor Total Total Total

$61.42 $50.50 $24.98 Respond./ Cost/Res. # of Hours/ Cost/

/Hour /Hour /Hour Year[a] /Year[b] Resp Year[c] Year[d, e]

Subpart B

3

761.30(a)(1)(vi),(vii), 

(xv)(D) Register newly discovered PCB Transformers 1 - - 1 $61 318 318 $7,443[e]

5 761.30(i)(1)(iii)(A)(1),(C)

Submit descriptions of gas pipeline systems

and make documents available to EPA 1 1 2 4 $162 50 200 $3,084[e]

7 761.35(b)

Obtain approval for PCB Article storage in a 

facility that does not meet 761.65(b) 0.166 0.166 $8 255 37 $719e]

Subpart D

8

761.60(e), (i)(2); .70(a), 

(b),(d)(2); .75(b)(7),(b) 

(8)(ii),(c) Submit disposal permit applications - 825 75 900 $43,534 40 36,000 $663,544[e]

9 761.60(j)(1)(i) 

Obtain identification number for R&D 

disposal - 1.5 - 1.5 $76 5 8 $144[e]

10 761.60(j)(1)(ii) Notify officials of R&D activities - 4 2 6 $252 10 60 $2,519

12 761.61(a)(3)(i),(ii) Notify officials of self-imp. remediation 30 50 20 100 $4,867 58 5,800 $282,292

13 761.61(a)(3)(ii) Notify EPA of self-imp. remed. changes - 2 - 2 $101 13 26 $1313

14 761.61(a)(3)(iii) Request waiver of notification requirement 2 16 2 20 $981 17 340 $16,673

15 761.61(a)(8)(i)(B) Certify recording of deed notation - 4 - 4 $202 28 112 $5,656

16 761.61(c)(1)

Apply for risk-based disposal approval for 

remediation waste - 1,480 120 1,600 $77,734 17 27,200 $503,548[e]

17 761.62(c)91)

Apply for risk-based disposal or storage 

approval for bulk PCB product waste - 1,480 120 1,600 $77,734 20 32,000 $592,410[e]

18 761.65(a)(2),(3),(4) Notify of attempts to secure disposal - 2 1 3 $126 5 15 $630

21 761.65(c)(6)(i)(C)

Demonstrate that storage containers for 

PCB/rad waste are protective of health/env - 32 8 40 $1,816 5 200 $3,459e]

22

761.65(d),(e)(1),(e)(6-

8),(f) Prepare storage approval application - 240 - 240 $12,119 25 6,000 $115,452[e]

23 761.65(e)(4) Submit RA request to modify storage 1.5 - 0.5 2 $105 10 20 $1,046

24 761.65(g)(9) Notify EPA of changes to storage facilities - 1.5 0.5 2 $88 7 14 $618

25 761.65(j) Demonstrate financial assurance for closure 20 80 20 120 $5,768 12 1,440 $26,374[e]

27 761.70(d)(8);.75(c)(7) Notify EPA of changes in facility ownership 7 - 1 8 $455 5 40 $2,275
--

108

TABLE 6-5 ANNUAL RESPONDENT HOURLY BURDEN AND COST ESTIMATE - REPORTING

Ref # Regulatory Citation Information Collection Activity

Hours and Costs Per Respondent Total Hours and Costs

Mgr. @ Tech. @ Cler. @ Hours/ Labor Total Total Total

$61.42 $50.50 $24.98 Respond./ Cost/Res. # of Hours/ Cost/

/Hour /Hour /Hour Year[a] /Year[b] Resp Year[c] Year[d, e]

31

761.77(a)(10(i),(a)(1)(ii) 

(A)(1),(C); (a)(2) Request coordinated approval 8 20 8 36 $1,701 6 216 $3,889[e]

33 761.79(h)

Prepare requests for decontamination 

approvals of alternative decontamination 

sampling methods - 1,480 120 1,600 $77,734 20 32,000 $592,410[e]

Subpart E

34 761.80(e)(1); (i)(1) Qualify for R&D exemptions 32 - 8 40 $2,165 1 40 $2,165

35 761.80 (e)(2), and (i)(2)

Submit requests for renewal of the class 

exemptions 1 - - 1 $61 1 1 $61

37 761.80(e)(4)

Notify EPA of PCB mfg. before R&D 

activities 2 16 2 20 $981 1 20 $981

Subpart G

40 761.125(a)(1)(i) to (iii) Report certain spill of PCBs to EPA 0.167 - - 0.167 $10 100 17 $1,026

Subpart J

41 761.180(b), (b)(3),(c)(5)

Prepare/submit annual reports on 

storage/disposal 56 - 3 59 $3,515 131 7,729 $460,402

41a 761.180(g)

Provide EPA with info on reclassified 

equipment 0.25 - - 0.25 $15 45 11 $691

Subpart K

44 761.202(a), 205(a - e) Notify EPA of PCB waste activity 1 - 0.5 1.5 $74 100 150 $7,391

45 761.205(f) Report changes in waste handler notifications 1 - 0.5 1.5 $74 200 300 $14,782

46 761.208(a)(4); 215 (b-d) Submit Exception and Discrepancy Reports - 1.5 0.5 2 $88 325 650 $28,677

48 761.211(b) Notify EPA of unmanifested waste - 0.5 - 0.5 $25 17 9 $492

49 761.211(c) Submit unmanifested Waste Reports - 1.5 0.5 2 $88 57 114 $5,029

Subpart T

50 761.395, .398 Submit results of validation study analysis 1 14 1 16 $793 5 80 $3,967

TOTALS 151,166 $3,351,099

Notes: [a] Sum of staff hours; [b] Sum of staff hours x labor rates; [c] Hours/respondent/year x total number of respondents; [d] Labor costs/respondent x total number of respondents. 

Totals may not add due to rounding; [e] Total costs are annualized using a discount rate of 7% over a 3-year period for the one-time requirements of numbers 3-9, 16, 17, 21, 22, 25, 

31, and 33.
--

109

TABLE 6-6 ANNUAL RESPONDENT HOURLY BURDEN AND COST ESTIMATE - THIRD-PARTY REPORTING

Hours and Costs Per Respondent Total Hours and Costs

Mgr. @ Tech. @ Cler. @ Hours/ Labor Total Total Total

$61.42 $50.50 $24.98 Respond./ Cost/ Capital # of Hours/ Cost/

Ref # Regulatory Citation Information Collection Activity /Hour /Hour /Hour Year[a] Year[b] Costs[c] Respon. Year[d] Year[e, f]

Subpart B

52

761.30(a)(1)(xi),(xv)

(A) (h)(1)((ii)(B)

Report PCB Transformer and Voltage 

regulator fires to the National Response 

Center - 0.167 - 0.167 $8 - 22 4 $186

Subpart D

56 761.60(b)(5)(i)(A)(1) Include gas pipes in notification programs - 0.25 - 0.25 $13 - 50 13 $631

57 761.60(f)(1)(i) Notify state/local govts of PCB disposal - 0.333 0.167 0.5 $21 - 600 300 $12,592

60 761.60(j)(1)(vii) Manifest R&D PCB waste - 1 - 1 $50 - 48 48 $2,424

62

761.61(a)(5)(i)(B)(2) 

(iv)

Notify offsite non-TSCA facility of 

pending shipment of remediation/waste - 2 - 2 $101 - 100 200 $10,099

63 761.61(a)(8)(i)(A) Certify deed notation recording - 3 - 3 $151 - 100 300 $15,149

65 761.65(c)(1),(8)

Attach date notation on PCB Items and 

Containers - 0.083 - 0.083 $4 - 93,120 7,729 $390,291

Subpart G

67 761.125(a)1)

Report certain spills of PCBs to the 

National Response Center 0.167 - - 0.167 $10 - 223 37 $2,287

68 761.125(c)(2)(ii)

Place notice of PCB contamination at 

cleanup site - 1 - 1 $50 $50 212 212 $8,118]

Subpart J

68a 761.180(g)

Provide records of reclassification, if 

requested, to recipients of reclassified 

equipment 0.083 - 0.417 0.5 $16 - 336 168 $5,213

Subpart K

69

761.207(a); 

.208(a)(2),(3)

Prepare manifests of each PCB waste for 

PCB waste transporters, storers, and 

disposers 0.083 - - 0.083 $5 - 61,074 5,069 $311,352

70

761.208(c)1)(iv), 

(c)(2)(iv)

Storer/disposer sends manifest to 

generator 0.167 - - 0.167 $10 - 3,054 510 $31,326

71 761.218(a),(b)

Send Certificates of Disposal to 

generators - 0.25 - 0.25 $13 - 4,022 1,006 $50,775

TOTALS $50 15,595 $840,444

Notes: [a] Sum of staff hours; [b] Sum of staff hours x labor rates; [c] Capital cost calculated per respondent [d] Hours/respondent/year x total number of respondents; [e]

Labor/respondent x total number of respondents. Totals may not add due to rounding. [f] Total costs are annualized using a discount rate of 7% over a 3-year period for the one-time 

requirements of number 68. 
--

110

TABLE 6-7ANNUAL RESPONDENT HOURLY BURDEN AND COST ESTIMATE - RECORDKEEPING

Hours and Cost Per Respondent Total Hours and Costs

Mgr @ Tech. @ Cler @ Hours/ Labor Total Total Total

$61.42 $50.50 $24.98 Respon./ Cost/ # of Hours/ Cost/

 Ref # Reg. Citation Information Collection Activity Hour Hour Hour Year[a] Year[b] Respon. Year[c] Year[d, e]

Subpart B

74a 761.30(a)(1)(xii)

Maintain PCB Transformer inspection data 

(annual) - 0.05 0.033 0.083 $3 29,229 2,426 $97,894

74b 761.30(a)(1)(xii) Maintain PCB Transformer inspect. data (quart.) - 0.2 0.133 0.333 $13 29,229 9,733 $392,307

74c 761.30(a)(1)(xii)

Maintain PCB Transformer inspection data 

(annual) - 0.05 0.033 0.083 $3 -336 -28 -$1,125

74d 761.30(a)(1)(xii) Maintain PCB Transformer inspect. data (quart.) - 0.2 0.133 0.333 $13 -336 -112 -$4,510

75

761.30(a)(2)(v); 

761.180(a) Maintain records of retrofilled equipment - 0.167 0.083 0.25 $11 672 168 $7,060

76

761.30(i)(1)(iii)(B), 

(C) Keep records of gas pipeline system data 1 2 1 4 $187 100 400 $18,740

77 761.35(a)(2) Keep records of equipment stored for reuse - 0.15 - 0.15 8 170,303 25,545 $1,289,974

78 761.40(c)(2)(ii), (k) Keep large capacitor records (optional) - 0.1 - 0.1 $5 100,000 10,000 $504,972

Subpart D

79 761.60(j)(1)(ix) Keep R&D for disposal records - 12 - 12 $606 48 576 $29,086

80

761.61(a)(3)(i)(E); 

(a)(6); .295 Retain remediation sampling/analysis records - 1 - 1 $50 100 100 $5,050

81 761.61(a)(3)(iii) Retain waivers from self-impl. remed. projects - 0.167 - 0.167 $8 100 17 $321[e]

82 761.61(a)(9) Keep records according to Spill Cleanup Policy 4 12 4 20 $952 100 2,000 $95,157

83 761.62(b)(5)

Maintain sampling/analysis records for bulk 

product wastes 1 3 - 4 $213 26 104 $2,109[e]

84 761.65(a)(2)(ii), (a)(3) Keep records of attempts to secure disposal - 4 - 4 $202 76 304 $15,351

85a 761.65(c)(1)(iv) Prepare SPCC plans 5 45 10 60 $2,829 5 300 $5,391[e]

85b 761.65(c)(1)(iv) Modify SPCC plans for liquid PCBs >500 ppm 0.5 1 0.5 2 $94 10 20 $937

86 761.65(c)(7)(ii)

Prepare SPCC plans for facilities using storage 

containers 5 45 10 60 $2,829 5 300 $5,391[e]

87 761.65(c)(8)

Keep records of the quantity/date of each batch 

added to a stationery storage container - 0.083 - 0.083 $4 30,000 2,490 $125,738

88 761.65(c)(10)

Establish and maintain annual log records as per 

.180 for PCB storage facilities 24 - 819 843 $21,933 66 55,638 $1,447,587
--

111

TABLE 6-7ANNUAL RESPONDENT HOURLY BURDEN AND COST ESTIMATE - RECORDKEEPING

Hours and Cost Per Respondent Total Hours and Costs

Mgr @ Tech. @ Cler @ Hours/ Labor Total Total Total

$61.42 $50.50 $24.98 Respon./ Cost/ # of Hours/ Cost/

 Ref # Reg. Citation Information Collection Activity Hour Hour Hour Year[a] Year[b] Respon. Year[c] Year[d, e]

89

761.70(a)(3),(4),(7); 

(c); .180 Maintain incinerator records 48 260 535 843 $29,442 5 4,215 $147,210

90

761.71(a)(a)(vi), (vii); 

(b)(1)(vi), (vii), (b)(5); 

.180(e)

Retain monthly HEB operating data

- 12 - 12 $606 20 240 $12,119

91 761.72(a)(9), (b)(6) Retain scrap metal recovery oven records - 3 - 3 $151 8 24 $1,212

92

761.75(b)(6)(iii), 

(b)(8)(iv); .180(d) Maintain chemical waste landfill records 24 - 819 843 $21,933 10 8,430 $219,331

93 761.79(d)(4) Retain PODF/VADF validation results - 0.5 - 0.5 $25 5 3 $48

[e]

94 761.79(f)(1), (2) Keep decontamination sampling records - 2 - 2 $101 100 200 $3,848[e]

Subpart E

95 761.80(e)(5), (i)(7)

Keep records of PCB mfg/ proc/dist. in com. 

R&D activities - 12 - 12 $606 39 468 $23,633

96 761.80(g)(1)

Keep records of PCB proc/dist. in com. of small 

quantities of PCBs for R&D activities - 12 - 12 $606 15 180 $9,089

Subpart G

97 761.125(b)(3), (c)(5)

Maintain records of cleanup and certification of 

decontamination 1 5 2 8 $343 223 1,784 $81,143

98 761.125(c)(1) Maintain records documenting delay in cleanup - - 0.5 0.5 $12 11 6 $137

Subpart J

99

761.180(a), (a)(4), (f); 

.65(c)(5)

Maintain annual records and log for PCBs and 

PCB Items 12 - 40 52 $1,736 7,534 391,768 $13,081,073

100a

761..185(c)(2) and 

.193(a), (b) Maintain monitoring data of inadvertent PCBs .5 4.5 - 5 $252 25 125 $6,449

100b

761..185(c)(2) and 

.193(a), (b)

Maintain previous records of monitoring data of 

inadvertent PCBs - - 5 5 $125 10 50 $1,249

101

761.208(a), (b), (c); 

.209(a-d) File and maintain manifests - - 0.167 0.167 $4 3,054 510 $12,741

102 761.218(c) Maintain Certificates of Disposal - - 0.167 0.167 $4 3,054 510 $12,741

Subpart T

103 761.398(c)

Record test parameters and SOP conditions for 

decontamination validation studies - 16 - 16 $808 5 80 $1,539[e]

TOTALS 518,574

$17,650,

Notes: [a] Sum of staff hours; [b] Sum of staff hours x labor rates; [c] Hours/respondent/year x total number of respondents; [d] Labor/respondent x total 
--

112

number of respondents. Totals may not add due to rounding; [e] Total costs are annualized using a discount rate of 7% over a 3-year period for the one-time requirements of numbers 

81, 83, 85a, 86, 93, 94 and 103.
--

113

6(c) Estimating Agency Burden and Cost

The estimated Agency burden associated with this Consolidated ICR is shown on Table 

6-8 with comments indicated on the table. The detailed costs associated with the Agency burden 

are shown in Table 6-9. The hourly rates for EPA staff were based on a composite management 

level at GS-15/5 ($54.10); technical support at GS-12/5 ($32.73), and clerical support at GS-7/5 

($18.45), using the 20010 General Schedule Salary Table, effective January 2010 (U.S. OPM, 

2010). (Note that Tables 6-8 and 6-9 appear at the end of section 6(e)).

6(d) Estimating the Respondent Universe and Total Burden and Costs

Refer to Tables 6-2 through 6-7 for this information.

6(e) Bottom Line Burden and Costs

(i) Respondent Tally

As indicated on Table 6-5, the total respondent reporting burden is 151,166 hours and 

$3,351,099. As indicated on Table 6-6, the total respondent third-party reporting burden is 

15,595 hours and $840,444. As indicated on Table 6-7, the total respondent recordkeeping 

burden is 518,574 hours and $17,650,993. Table 6-10 summarizes the respondent burdens and 

costs for each applicable subpart of 40 CFR 761. As shown on the table, the total paperwork 

burden for this Consolidated ICR is 685,335 hours and $21,842,536.

(ii) Agency Tally

As indicated on Table 6-9, the Agency annual burden is 56,526 hours and $1,823,655.

(iii) Variations in the Annual Bottom Line

This section does not apply. There are no anticipated significant variations in the annual 

respondent reporting or recordkeeping burden or cost over the course of the requested clearance 

period for either industry or the federal government.
--

114

TABLE 6-8 ANNUAL AGENCY HOURLY BURDEN FOR THE CONSOLIDATED ICR SUPPORTING STATEMENT COVERING THE 

PCB REGULATIONS AT 40 CFR 761

Collection Activities

Burden 

Hrs/Year

Respondents/

Year Comments

Review/analyze data submissions (i.e., new exemptions 

and renewal data); develop rulemakings in response to the 

petitions for exemption; publish rulemakings in the Federal 

Register; index and file the data in the public docket.

203 hours 5 renewal 

petitions: 2 

new petitions

Federal Register publication costs add approximately 

$1,500 to the annual cost of this collection activity.

Review preliminary PCB Transformer inspection reports; 

input data; index/file data.

20 hours 500 

inspections

The total time to conduct inspections equals 4 days.

Review exclusion submissions; record/enter submissions; 

analyze requests for confidentiality and provide 

appropriate protection; store data.

6 hours 0 submissions —

Review technology-based disposal applications; attend 

demonstrations (EPA engineers and contractor analytical 

chemists); develop (i.e., grant/deny) approval; maintain 

files.

641 hours 15 submissions Costs vary depending on number and type of 

applications received. Number of §761.60 approvals 

has remained fairly constant over the last several years 

and is expected to remain so.

Review facility records, including annual reports. 2 hours per 

review

1,100 

inspections

Based on Compliance Monitoring Plan, maximum 

number of inspections for all 10 Regions combined is 

1,100/year.

Review applications for commercial storage approval, with 

contractual support. 

72-125 

hours/

application

; 98.5 

hours, 

average, 

rounded to 

100

3.3 

applications/ 

year average, 

rounded to 3

Review time varies based on the number of deficiencies 

initially discovered and any supplemental information 

that is submitted to correct the deficiencies. EPA uses 

contractual support to review applications.
--

115

TABLE 6-8 ANNUAL AGENCY HOURLY BURDEN FOR THE CONSOLIDATED ICR SUPPORTING STATEMENT COVERING THE 

PCB REGULATIONS AT 40 CFR 761

Collection Activities

Burden 

Hrs/Year

Respondents/

Year Comments

Process PCB notification forms; update Notification of 

PCB Activity Quarterly Reports; respond to inquires 

regarding these submissions; maintain hard-copy files of 

these submissions; and provide contractor oversight. 

520 hours — These activities will be conducted at EPA Headquarters 

only. The hourly figures represent the time allocation to 

handle all respondents.

Process PCB Transformer registrations. 520 hours — These activities will be conducted at EPA Headquarters 

only. The hourly figures represent the time allocation to 

Maintain PCB Transformer database handle all respondents. 260 hours —

Respond to numerous requests for regulatory 

interpretations and inquiries regarding the PCB notification 

and Transformer Registration Programs.

1,850 

hours

—

Maintain official files of all requests for approvals and 

EPA’s responses.

675 hours — See comment above.

Review requests for approval for PCB Articles stored for 

reuse >5 yrs.

2 hours/ 

submission

1 submission In 2008, the Storage for Reuse provision in Number 7, 

Table 6-5 will be up for renewal. Based the Agency’s 

historical experience, a total of 83 renewal requests, 

each one addressing about 75 pieces of equipment, will 

be submitted for 6,250 pieces of equipment total. Over 5 

years, this is 17 applications per year.

Review requests for risk-based disposal and coordinated 

approvals and alternate decontamination or sampling 

methods; issue approvals or waivers; maintain files.

515 hours 55 submissions Costs vary depending on number and types of 

applications received. Respondents increased from 46 

to 55. Burden hrs/year figure corrects erroneous figure 

(23,675) in previous ICR supporting statement.
--

116

TABLE 6-8 ANNUAL AGENCY HOURLY BURDEN FOR THE CONSOLIDATED ICR SUPPORTING STATEMENT COVERING THE 

PCB REGULATIONS AT 40 CFR 761

Collection Activities

Burden 

Hrs/Year

Respondents/

Year Comments

Note: The total burden hours/year for the category “Review technology-based disposal applications; attend demonstrations (EPA engineers and 

contractor analytical chemists); develop (i.e., grant/deny) approval; maintain files” was originally recorded as 660, but the sum of the components adds 

to 641 as shown in Table 6-9.

TABLE 6-9 ANNUAL AGENCY HOURLY BURDEN AND COST

Information Collection Activity

Hours and Costs Per Respondent Total Hours and Costs

GS15/5 @ 

$54.10/

Hour[a]

GS-12/5 

@ 

$32.73/

Hour[a]

GS-7/5 

@ 

$18.45

/

Hour[a]

Agency 

Hours/

Year[b]

Labor 

Cost/

Year[c]

Cap. 

Costs[d]

Total

# of

Resp.

Total

Hours/

Year[e]

Total

Cost/

Year[f, g]

PCB Manufacturing, Processing, and Distribution in Commerce Exemptions

Review/analyze new exemption petitions and 

renewal data 1 28 - 29 $97` - 7 203 $6,237

Develop rulemakings 3 160 8 171 $5,547 - 1 171 $5,094

Index/file data - - 2 2 $37 - 1 2 $34

FR publication 1 24 8 33 $987 $1,500 1 33 $2,407

SUBTOTAL 409 $14,865

PCB Use in Electrical Equipment and Transformers

Review preliminary inspection report - 8 - 8 $262 - 500 4,000 $130,920

Review reformatted report - 4 - 4 $131 - 500 2,000 $65,460

Review/input data - 4 - 4 $131 - 500 2,000 $65,460

Index/file data - - 4 4 $74 - 500 2,000 $36,900

SUBTOTAL 10,000 $298,740

PCB Exclusions, Exemptions, and Use Authorizations

Review exclusion request submissions - 2 - 2 $65 - 0 0 $0

Record/enter submissions - 1 - 1 $30 - 0 0 $0

Analyze requests for confidentiality and provide 

appropriate protection - 1 - 1 $30 - 0 0 $0
--

117

TABLE 6-9 ANNUAL AGENCY HOURLY BURDEN AND COST

Information Collection Activity

Hours and Costs Per Respondent Total Hours and Costs

GS15/5 @ 

$54.10/

Hour[a]

GS-12/5 

@ 

$32.73/

Hour[a]

GS-7/5 

@ 

$18.45

/

Hour[a]

Agency 

Hours/

Year[b]

Labor 

Cost/

Year[c]

Cap. 

Costs[d]

Total

# of

Resp.

Total

Hours/

Year[e]

Total

Cost/

Year[f, g]

PCB Manufacturing, Processing, and Distribution in Commerce Exemptions

Store data - 2 - 2 $60 - 0 0 $0

SUBTOTAL 0 $0

PCB Disposal Permitting Regulation

Review applications - 312 - 312 $10,212 - 15 4,680 $153,176

Attend demonstrations - 156 - 156 $5,106 - 15 2,340 $76,588

Contractor support for demonstrations - 140 - 140 $4,582 - 15 2,100 $68,733

Develop (grant/deny) approval 2 30 - 32 $1,090 - 15 480 $16,352

Maintain files - 1 - 1 $33 - 15 15 $491

SUBTOTAL 9,615 $315,340

Notification and Manifesting for PCB Waste Activities

Record and retain scrap metal recovery oven - 2 - 2 $65 - 1,100 2,200 $72,006

Maintain chemical waste landfill records - 100 - 100 $3,273 - 3 300 $9,819

SUBTOTAL 2,500 $81.825

Final Regulations Amending the PCB Regulations at 40 CFR 761

Process notification forms; update Notification of 

PCB Activity Quarterly Reports - 520 - 520 $17,020 - 1 520 $17,020

Process PCB Transformer registrations - 520 - 520 $17,020 - 1 520 $17,020

Create PCB Transformer database - 260 - 260 $8,510 - 1 260 $8,510

Respond to numerous requests fro regulatory 

interpretations and inquiries regarding the PCB 

notification and Transformer Registration - 1,850 - 1,850 $60,551 - 1 1,850 $60,551

Maintain official files of all requests for 

approvals and EPA’s responses - 675 - 675 $22,093 - 1 675 $22,093
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118

TABLE 6-9 ANNUAL AGENCY HOURLY BURDEN AND COST

Information Collection Activity

Hours and Costs Per Respondent Total Hours and Costs

GS15/5 @ 

$54.10/

Hour[a]

GS-12/5 

@ 

$32.73/

Hour[a]

GS-7/5 

@ 

$18.45

/

Hour[a]

Agency 

Hours/

Year[b]

Labor 

Cost/

Year[c]

Cap. 

Costs[d]

Total

# of

Resp.

Total

Hours/

Year[e]

Total

Cost/

Year[f, g]

PCB Manufacturing, Processing, and Distribution in Commerce Exemptions

Review requests for approval for PCB Articles 

stored for reuse >5 years - 2 - 2 $65 - 1 2 $65

Review requests for risk-based disposal and 

coordinated approvals and alternative 

decontamination or sampling methods; issue 

approvals, waivers or letters of approval; 

maintain files of requests for approval - 515 - 515 $16,856 - 55 28,325 $927,077

Respond to requests for regulatory interpretations - 1,850 - 1,850 $60,551 - 1 1,850 $60,551

SUBTOTAL 34,002 $1,112,885

TOTALS 56,526 $1,823,655

 

Notes: [a] January 2010 data, U.S. OPM, 2010. [b] Sum of staff hours; [c]Sum of staff hours x labor rates; [d] EPA estimates; [e] Total number of respondents x Agency hours/year; [f]

Labor x respondent x total number of respondents; [g] Totals may not add due to rounding.
-119-

TABLE 6-10 SUMMARY OF RESPONDENT BURDENS AND COSTS BY SUBPART

Subparts Total # of 

Respondents

Total Hours 

Per Year

Total Hours Per 

Respondent[a]

Total Cost 

Per Year

Total Cost 

Per Hour[b]

Reporting

Subpart B 593 555 0.937 $11,246 $20

Subpart D 283 141,491 500 $2,814,252 $20

Subpart E 3 61 20 $3,207 $53

Subpart G 100 17 0.167 $1,026 $61

Subpart J 176 7,740 44 $461,093 $60

Subpart K 699 1,223 2 $56,309 $46

Subpart T 5 80 16 $3,967 $50

Subtotal 

Reporting 1,859 151,166 $3,351,099 $22

Third-Party Reporting

Subpart B 22 4 0.167 $186 $50

Subpart D 94,018 8,589 0.091 $431,187 $50

Subpart G 435 249 0.573 $10,406 $42

Subpart J 336 168 0.500 $5,213 $31

Subpart K 68,150 6,585 0.097 $393,453 $60

Subtotal ThirdParty Reporting 162,961 15,595 $840,444 $54

Recordkeeping

Subpart B 328,861 48,133 0.146 $2,305,312 $48

Subpart D 30,684 74,960 2.443 $2,115,887 $28

Subpart E 54 648 12 $32,722 $50

Subpart G 234 1,790 7.647 $81,280 $45

Subpart J 13,677 392,963 29 $13,114,252 $33

Subpart T 5 80 16 $1,539 $19

Subtotal 

Recordkeeping 373,515 518,574 $17,650,993 $34

Totals 538,335 685,335 $21,842,536

Notes: [a] Total hours per year/total number of respondents; [b] Total cost per year/total hours per year
6(f) Reasons for Change in Burden

This request reflects a decrease of 10,720 hours (from 696,055 hours to 685,335 hours) in 

the total estimated respondent burden from that currently in the OMB inventory. These burden 

changes are the result of new data gathered for this ICR effort as well as another recent PCB 

regulatory analysis, estimate adjustments made for consistency with the more recent Agency

report, and updated Agency data regarding total numbers of regulated entities. The change is an 

adjustment.

The changes in the total annual respondent reporting and recordkeeping burdens and 

costs over the course of the requested clearance period for many provisions were due to revisions 

to the total number of respondents. In some cases, the total number of respondents was based on 

number of facilities, in other cases the total number of respondents was calculated by estimating 

the total number of pieces of equipment that respondents must keep track of for a particular 

requirement. The up-to-date wage rates and the change from the previous ICR are as follows:

 Manager - new rate, $61.42; prior rate; $56.43 (9 percent increase)

 Clerical - new rate, $24.98; prior rate, $24.08 (4 percent increase)

 Professional/technical category was utilized to be consistent with other Agency

economic analyses. This replaced the previous labor categories of engineer/foreman 

($53.87) and engineering technician ($32.85). The current rate for the 

professional/technical category is $50.50.

The specific adjustments to this Consolidated ICR are explained on Tables 6-2 through 6-

8 and are summarized on Table 6-11.

The specific adjustments to this Consolidated ICR are explained on Tables 6-2 through 6-

8 and are summarized on Table 6-11 and in the following discussion.

 Item number 3 - The total number of newly discovered PCB Transformers that must be 

reported to EPA decreased slightly from 351 to 318. The revised number of disclosures 

was based on an average of the number of PCB Transformers Registered in 2007 and 

2008. This change in assumption decreases the burden from 351 hours to 318 hours (-33 

hours).

 Item number 5 - The total number of respondents was increased to 50 to account for 

anticipated data requests under .30(i)(1)(iii)(C) that were not previously captured by the 

burden estimates. The time estimate has been averaged to account for the lesser technical 

and managerial burden associated with 30(i)(1)(iii)(C) data requests. The changes 

increased the burden from 20 hours to 200 hours (180 hour increase).

 Item number 7- The approval for the latest 5-year storage period ends in 2013, which will 

occur during this ICR period. EPA estimates that it will grant approximately 3 waivers 

per year covering 75 items per waiver. This estimate is based on EPA’s review of 
submissions during the previous reporting period. This decreases the burden by 1,000 

hours. 

 Item number 41 - The reduced estimate of the number of facilities was generated by 

using the total number of EPA-approved storage and disposal facilities (114), and 

increasing this number by 15 percent to reflect the additional facilities that also dispose of 

the waste that they generate. The estimated number of facilities dropped from 151 to 131.

This decreases the burden by 1,180 hours. 

 Item number 42 - The number expected submissions decreased from 3 to 0. The Agency

received one submission in 2006 and no submissions in 2007, 2008, and 2009. The 

number of submissions declined because companies with exclusions identified 

themselves in the initial group of submissions. This decreases the burden by sixty hours. 

 Item number 43 - The number of expected submissions decreased from 1 to 0. This 

number is based on the number if submissions received by the agency in the past few 

years. This decreases the burden by 20 hours. 

 Item number 52 - An overview of NRC data indicates that the number of calls involving 

reports of fire incidents and PCB spills decreased slightly from 27 calls to 22 calls. This 

decreases the burden by 1 hour. 

 Item number 60 - The number of facilities increased from 39 to 48. This number is based 

on the total number of R&D facilities is listed on the Notification of PCB Activity

Quarterly Reports (U.S. EPA, 2010a). This increases the burden by nine hours. 

 Item number 67 - The number of incidences requiring reporting decreased slightly from 

265 to 223. The new estimate is based on the number of PCB-related incidences reported 

to the National Response Center for 2009 (U.S. Coast Guard, 2009). This decreases the 

burden by seven hours. 

 Item number 68 - The number of sites decreased slightly from 252 to 212. Revised 

estimate assumes that the > 1-lb spills at electrical substations are a large subset but not 

all of the spills that must be reported to the National Response Center; 95 percent of the 

average annual 223 spills reported for 2009 (U.S. Coast Guard, 2009). This decreases the 

burden by 40 hours. 

 Item number 69 - The number of items decreased from 72,102 to 61,074. This estimate 

is based on a compilation of the PCB Annual Reports, from 1998 to 2008, that showed an 

annual average of 61,074 items (PCB Capacitors, Article Containers, Transformers, and 

PCB Containers) were transferred to another facility (i.e., a storer or disposer) (U.S. EPA, 

2008). This decreases the burden by 915 hours.

 Item number 70 - The number of reports decreased from 3,605 to 3,054. EPA assumed 

for this report that the average number of items on a manifest is 20, so that of the 61,074 

items transferred, only 3,054 manifests or shipping papers need to be returned. This 

decreases the burden by 92 hours.
 Item 71 - The number certificates decreased from 4,773 to 4,022. Based on the PCB 

Annual Report, the average annual total number of capacitors, article containers, 

transformers, and PCB containers disposed of from 1996 to 2008 is 80,437 (U.S. EPA, 

2008). Assuming that information regarding 20 items is included on one Certificate of

Disposal, there are a total of 4,022 certificates. This decreases the burden by 187 hours.

 Item number 77 - The number of pieces of equipment requiring record keeping decreased 

from 189,225 to 170,303. This estimate is based on EPA’s experience in the last 

reporting period. This decreases the burden by 2,838 hours. 

 Item number 79 - The number of facilities increased from 39 to 48. The number of 

facilities is based on data contained in the Notification of PCB Activity Quarterly Reports 

(U.S. EPA, 2010a). This increases the burden by 108 hours. 

 Item number 84 - The number of waste storers increased slightly from 63 to 76. EPA 

based its estimate on the assumption that the number of waste storers is 1 percent of the 

total number of waste generators and storers (7,648) listed in the Notification of PCB 

Activity Quarterly Reports (U.S. EPA, 2010a). This increases the burden by 52 hours. 

 Item number 88 - The number of commercial storers decreased from 73 to 66. The total 

number of storers was obtained from EPA’s list of Commercial Storage Approvals (U.S. 

EPA, 2010b). This decreases the burden by 5,901 hours.

 Item number 89 - The number of incinerators increased slightly from 4 to 5. This number 

is from EPA’s list of Commercially Permitted PCB Disposal Companies (U.S. EPA, 

2010c). This increases the burden by 843 hours. 

 Item number 97 - The number of sets of records decreased from 265 to 223. This number 

is based on the annual number of spills reported to the National Response Center in 2009 

(U.S. Coast Guard, 2009). This decreases the burden by 336 hours. 

 Item number 98 - The estimated number of sites decreased from 13 to 11. It is 

anticipated that 5 percent of the total number of spills, as reported in 97, would face 

delays in cleanup. This decreases the burden by 1 hour. 

 Item number 99 - The total number of facilities increased from 7,517 to 7,534. This 

number is determined by the total number of PCB waste handlers minus the total number 

of commercial storers and disposers. This increases the burden by 884 hours. 

 Item number 100 - Based on comments received, 0.5 hours of management review time 

was added and .05 hours of technical time was subtracted. 

 Items number 101, and 102 - The total number of manifests and certificates decreased
from 3,605 to 3,054. Total number of manifests is an average of 20 items per manifest 

for a total of 61,074 items. The estimate for certificates is based on the estimate for 

manifests. This decreases the burden by 92 hours for item number 101 and it decreases 

the burden by 92 hours for item number 102. 
TABLE 6-11

CHANGES IN BURDEN HOURS TO EXISTING PCB ICR TOTALS

Item Number Change in Burden Hours

3 -33

5 180

7 -1,000

41 -1180

42 -60

43 -20

52 -1

60 9

67 -7

68 -40

69 -915

70 -92

71 -187

77 -2,838

79 108

84 52

88 -5901

89 843

97 -336

98 -1

99 884

101 -92

102 -92

Total -10,900

6(g) Burden Statement

The annual public burden for this collection of information, which is approved under 

OMB Control No. 2070-0112, is estimated to average about 1.27 hours per response. Burden is 

defined in 5 CFR 1320.3(b). An agency may not conduct or sponsor, and a person is not 

required to respond to, a collection of information unless it displays a currently valid OMB 
control number. The OMB control numbers for EPA’s regulations in title 40 of the CFR, after 

appearing in the Federal Register, are listed in 40 CFR part 9 and included on the related 

collection instrument or form, if applicable.

The Agency has established a public docket for this ICR under Docket ID No. EPA-HQOPPT-2010-0910, which is available for online viewing at www.regulations.gov, or in-person 

viewing at the EPA Docket Center (EPA/DC), EPA West, Room 3334, 1301 Constitution Ave., 

NW, Washington, DC. The EPA Docket Center Public Reading Room is open from 8:30 a.m. to 

4:30 p.m., Monday through Friday, excluding legal holidays. The telephone number for the 

Reading Room is (202) 566-1744, and the telephone number for the Pollution Prevention and 

Toxics Docket is (202) 566-0280. You may submit comments regarding the Agency's need for 

this information, the accuracy of the provided burden estimates and any suggested methods for 

minimizing respondent burden, including the use of automated collection techniques.

Submit your comments, referencing Docket ID No. EPA-HQ-OPPT-2010-0910 and 

OMB Control No. 2070-0112, to (1) EPA online using www.regulations.gov (our preferred 

method), or by mail to: Document Control Office (DCO), Office of Pollution Prevention and 

Toxics (OPPT), Environmental Protection Agency, Mail Code: 7407T, 1200 Pennsylvania Ave., 

NW, Washington, D.C. 20460, and (2) OMB by mail to: Office of Information and Regulatory

Affairs, Office of Management and Budget (OMB), Attention: Desk Officer for EPA, 725 17th 

Street, NW, Washington, DC 20503. 
APPENDICES TO THE SUPPORTING STATEMENT

Attachments to the supporting statement for this rule-related ICR addendum are available in the 

public docket established for the rulemaking under docket identification number EPA-HQOPPT-2010-0910. These attachments are available for online viewing at www.regulations.gov 

or otherwise accessed as described in the Supporting Statement.

Appendix A Toxic Substances Control Act (TSCA), Section 6(e) (15 USC 2605(e))

Appendix B

Polychlorinated Biphenyls (PCBs) Manufacturing, Processing, Distribution 

in Commerce, and Use Prohibitions, 40 CFR 761; available at 

http://www.access.gpo.gov/nara/cfr/waisidx_07/40cfr761_07.html

Appendix C

EPA Form 7720-12 (PCB Transformer Registration) and Instructions; available at 

http://www.epa.gov/epawaste/hazard/tsd/pcbs/pubs/772012.pdf and 

http://www.epa.gov/epawaste/hazard/tsd/pcbs/pubs/7720back.pdf

Appendix D

EPA Form 7710-53 (Notification of PCB Activity) and Instructions; available at 

http://www.epa.gov/epawaste/hazard/tsd/pcbs/pubs/771053.pdf and 

http://www.epa.gov/epawaste/hazard/tsd/pcbs/pubs/7710back.pdf

Appendix E Summary of Public and Consultative Comments and EPA’s Response to All 

Comments

Appendices

F-1 and F-2

Copy of Consultations Message Sent by EPA to Potential Respondents; 

Summary of Response from the American Gas Association (AGA) and 

Copy of Response from EPS Industries
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